Morgan Stanley. (MS) NEW YORK STOCK EXCHANGE INC.

$79.37 -0.59 (-0.74%)

Market Cap: $138.84B

As of 05/20/22 04:03 PM EDT. Market closed.

(MS)

Morgan Stanley. (MS) NEW YORK STOCK EXCHANGE INC.

$79.37 -0.59 (-0.74%)

Market Cap: $138.84B

As of 05/20/22 04:03 PM EDT. Market closed.

Morgan Stanley is a leading global financial services firm providing investment banking, securities, wealth management and investment management services. With offices in more than 41 countries, the Firm's employees serve clients worldwide including corporations, governments, institutions and ... read more

Morgan Stanley is a leading global financial services firm providing investment banking, securities, wealth management and investment management services. With offices in more than 41 countries, the Firm's employees serve clients worldwide including corporations, governments, institutions and individuals. read less

COMPANY PROFILE
Sector
Finance and Insurance
Industry
Investment Banking and Securities Dealing
CEO
James Gorman
Full Time Employees
2,020
CEO Compensation (Base)
$1.50M
CEO Compensation (Total)
$28.17M
URL
Address
1585 Broadway, New York, New York, 10036-8200.
Sector
Finance and Insurance
Industry
Investment Banking and Securities Dealing
CEO
James Gorman
Full Time Employees
2,020
CEO Compensation (Base)
$1.50M
CEO Compensation (Total)
$28.17M
Address
1585 Broadway, New York, New York, 10036-8200.
PRICE CHART
1w
1m
3m
6m
YTD
1y
5y
MAX
From: To:
KEY STATS
Open
$80.62
Previous Close
$79.96
Days Range
$77.57 - $81.21
52 week range
$76.75 - $108.80
Volume
8,705,000
Avg. Volume (30 days)
8,748,179
Market Cap
$138.84B
Dividend Yield
3.49%
P/E
9.83
Shares Outstanding
1,749,284,059
Open
$80.62
Previous Close
$79.96
Days Range
$77.57 - $81.21
52 week range
$76.75 - $108.80
Volume
8,705,000
Avg. Volume (30 days)
8,748,179
Market Cap
$138.84B
Dividend Yield
3.49%
P/E
9.83
Shares Outstanding
1,749,284,059

Open in: SeekingAlpha Yahoo Finance Fidelity MorningStar

Open in: SeekingAlpha Yahoo Finance Fidelity MorningStar

INSIDER TRANSACTIONS FOR MORGAN STANLEY
Owner Relationship Date Transaction Cost # Shares Value($) Total Shares Form 4
AKRAM RAJA Deputy Chief Financial Officer May 13, 2022 Option Exercise $80.63 137 11,047 108,636 May 17, 2022, 04:19 PM
LUCZO STEPHEN J Director May 12, 2022 Buy $79.30 25,000 1,982,425 179,449 May 13, 2022, 04:16 PM
AKRAM RAJA Deputy Chief Financial Officer May 01, 2022 Option Exercise $80.59 15,785 1,272,113 107,702 May 03, 2022, 04:09 PM
CORLEY ELIZABETH Director Apr 21, 2022 Option Exercise $90.39 438 39,591 29,144 Apr 25, 2022, 04:09 PM
CORLEY ELIZABETH Director Apr 21, 2022 Option Exercise $90.39 2,315 209,254 26,599 Apr 25, 2022, 04:09 PM
SIMKOWITZ DANIEL A Head of Investment Management Feb 24, 2022 Option Exercise $93.55 55,564 5,198,012 349,220 Feb 25, 2022, 04:27 PM
SAPERSTEIN ANDREW M Co-President/Head of WM Feb 24, 2022 Option Exercise $93.55 45,986 4,301,990 224,706 Feb 25, 2022, 04:25 PM
PRUZAN JONATHAN Chief Operating Officer Feb 24, 2022 Option Exercise $93.55 55,564 5,198,012 333,692 Feb 25, 2022, 04:24 PM
PICK EDWARD N Co-President/Head of IS Feb 24, 2022 Option Exercise $93.55 122,142 11,426,384 745,526 Feb 25, 2022, 04:22 PM
Hotsuki Keishi Chief Risk Officer Feb 24, 2022 Option Exercise $93.55 30,068 2,812,861 300,485 Feb 25, 2022, 04:21 PM
GROSSMAN ERIC F Chief Legal Officer Feb 24, 2022 Option Exercise $93.55 38,028 3,557,520 326,840 Feb 25, 2022, 04:20 PM
GORMAN JAMES P Chairman and CEO Feb 24, 2022 Option Exercise $93.55 263,442 24,645,000 1,370,961 Feb 25, 2022, 04:13 PM
GORMAN JAMES P Chairman and CEO Feb 09, 2022 Option Exercise $108.73 24,575 2,672,040 1,161,274 Feb 11, 2022, 04:09 PM
SAPERSTEIN ANDREW M Co-President/Head of WM Feb 08, 2022 Sale $105.70 17,162 1,813,998 179,414 Feb 09, 2022, 04:16 PM
Hotsuki Keishi Chief Risk Officer Feb 07, 2022 Sale $105.00 24,500 2,572,500 270,986 Feb 09, 2022, 04:14 PM
SIMKOWITZ DANIEL A Head of Investment Management Jan 31, 2022 Sale $102.56 18,414 1,888,525 302,996 Feb 02, 2022, 04:12 PM
PRUZAN JONATHAN Chief Operating Officer Jan 26, 2022 Sale $101.05 18,414 1,860,705 287,602 Jan 28, 2022, 04:17 PM
YESHAYA SHARON Chief Financial Officer Jan 20, 2022 Option Exercise $95.73 2,760 264,215 46,042 Jan 21, 2022, 04:26 PM
SIMKOWITZ DANIEL A Head of Investment Management Jan 20, 2022 Option Exercise $95.73 17,394 1,665,128 321,410 Jan 21, 2022, 04:25 PM
SAPERSTEIN ANDREW M Co-President/Head of WM Jan 20, 2022 Option Exercise $95.73 15,262 1,461,031 212,047 Jan 21, 2022, 04:24 PM
SAPERSTEIN ANDREW M Co-President/Head of WM Jan 20, 2022 Sale $96.80 15,471 1,497,593 196,576 Jan 21, 2022, 04:24 PM
ROONEY ROBERT P Head of Tech/Ops/Resilience Jan 20, 2022 Option Exercise $95.73 18,507 1,771,675 253,946 Jan 21, 2022, 04:23 PM
PRUZAN JONATHAN Chief Operating Officer Jan 20, 2022 Option Exercise $95.73 17,394 1,665,128 306,016 Jan 21, 2022, 04:22 PM
PICK EDWARD N Co-President/Head of IS Jan 20, 2022 Option Exercise $95.73 16,565 1,585,768 645,186 Jan 21, 2022, 04:20 PM
Hotsuki Keishi Chief Risk Officer Jan 20, 2022 Option Exercise $95.73 11,299 1,081,653 295,486 Jan 21, 2022, 04:18 PM
GROSSMAN ERIC F Chief Legal Officer Jan 20, 2022 Option Exercise $95.73 14,348 1,373,534 322,685 Jan 21, 2022, 04:17 PM
GROSSMAN ERIC F Chief Legal Officer Jan 20, 2022 Sale $101.63 33,209 3,375,130 289,476 Jan 21, 2022, 04:17 PM
CRAWLEY MANDELL Chief Human Resources Officer Jan 20, 2022 Option Exercise $95.73 4,043 387,036 43,783 Jan 21, 2022, 04:16 PM
CRAWLEY MANDELL Chief Human Resources Officer Jan 21, 2022 Sale $98.57 7,475 736,812 43,083 Jan 21, 2022, 04:16 PM
GORMAN JAMES P Chairman and CEO Jan 20, 2022 Option Exercise $95.73 75,138 7,192,961 1,136,699 Jan 21, 2022, 04:14 PM
TRAQUINA PERRY M Director Dec 01, 2021 Option Exercise $96.92 696 67,454 62,329 Dec 03, 2021, 04:26 PM
LUCZO STEPHEN J Director Dec 01, 2021 Option Exercise $96.92 567 54,952 7,834 Dec 03, 2021, 04:25 PM
GLOCER THOMAS H Director Dec 01, 2021 Option Exercise $96.92 825 79,957 94,283 Dec 03, 2021, 04:23 PM
CORLEY ELIZABETH Director Dec 01, 2021 Option Exercise $96.92 490 47,489 28,514 Dec 03, 2021, 04:22 PM
DARLING ALISTAIR Director Nov 09, 2021 Sale $99.46 1,000 99,460 32,675 Nov 12, 2021, 04:13 PM
YESHAYA SHARON Chief Financial Officer Jul 21, 2021 Option Exercise $92.32 1,171 108,107 23,724 Jul 23, 2021, 04:17 PM
YESHAYA SHARON Chief Financial Officer Jul 21, 2021 Sale $95.64 2,500 239,104 24,895 Jul 23, 2021, 04:17 PM
SAPERSTEIN ANDREW M Co-President/Head of WM Jul 16, 2021 Sale $92.97 11,465 1,065,901 173,075 Jul 16, 2021, 04:28 PM
LUCZO STEPHEN J Director Apr 17, 2020 Buy $38.59 29,000 1,119,229 154,449 Jun 03, 2021, 05:46 PM
CORLEY ELIZABETH Director Jun 01, 2021 Option Exercise $92.49 514 47,541 27,643 Jun 03, 2021, 05:34 PM
OLAYAN HUTHAM S Director May 20, 2021 Option Exercise $86.33 550 47,479 194,388 May 21, 2021, 04:40 PM
SIMKOWITZ DANIEL A Head of Investment Management Apr 19, 2021 Sale $80.06 73,162 5,856,984 267,915 Apr 21, 2021, 04:06 PM
Hotsuki Keishi Chief Risk Officer Feb 26, 2021 Option Exercise $78.43 19,384 1,520,287 276,988 Feb 26, 2021, 04:23 PM
GROSSMAN ERIC F Chief Legal Officer Feb 26, 2021 Option Exercise $78.43 24,554 1,925,770 290,811 Feb 26, 2021, 04:22 PM
SIMKOWITZ DANIEL A Head of Investment Management Feb 26, 2021 Option Exercise $78.43 34,410 2,698,776 341,077 Feb 26, 2021, 04:20 PM
SAPERSTEIN ANDREW M Head of Wealth Management Feb 26, 2021 Option Exercise $78.43 25,846 2,027,102 183,907 Feb 26, 2021, 04:20 PM
PICK EDWARD N Head of Inst'l Securities Feb 26, 2021 Option Exercise $78.43 77,248 6,058,561 588,151 Feb 26, 2021, 04:17 PM
PRUZAN JONATHAN Chief Financial Officer Feb 26, 2021 Option Exercise $78.43 30,196 2,368,272 280,718 Feb 26, 2021, 04:15 PM
GORMAN JAMES P Chairman and CEO Feb 26, 2021 Option Exercise $78.43 179,076 14,044,931 1,206,734 Feb 26, 2021, 04:12 PM
Hotsuki Keishi Chief Risk Officer Feb 16, 2021 Sale $76.25 22,746 1,734,383 256,786 Feb 18, 2021, 04:17 PM
GORMAN JAMES P Chairman and CEO Feb 11, 2021 Option Exercise $73.72 27,825 2,051,259 1,047,898 Feb 12, 2021, 04:16 PM
ROONEY ROBERT P Head of Tech/Ops/Resilience Feb 09, 2021 Sale $74.36 15,169 1,128,012 230,896 Feb 11, 2021, 04:08 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 21, 2021 Option Exercise $74.84 6,008 449,639 168,595 Jan 22, 2021, 04:39 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 21, 2021 Sale $74.57 18,500 1,379,545 150,095 Jan 22, 2021, 04:39 PM
Hotsuki Keishi Chief Risk Officer Jan 21, 2021 Option Exercise $74.84 9,120 682,541 279,086 Jan 22, 2021, 04:38 PM
ROONEY ROBERT P Head of Tech/Ops/Resilience Jan 21, 2021 Option Exercise $74.84 9,703 726,172 246,065 Jan 22, 2021, 04:37 PM
GROSSMAN ERIC F Chief Legal Officer Jan 21, 2021 Option Exercise $74.84 12,676 948,672 293,661 Jan 22, 2021, 04:37 PM
GROSSMAN ERIC F Chief Legal Officer Jan 21, 2021 Sale $74.74 29,000 2,167,567 264,661 Jan 22, 2021, 04:37 PM
SIMKOWITZ DANIEL A Head of Investment Management Jan 21, 2021 Option Exercise $74.84 16,440 1,230,370 310,085 Jan 22, 2021, 04:36 PM
SAPERSTEIN ANDREW M Head of Wealth Management Jan 21, 2021 Option Exercise $74.84 13,565 1,015,205 186,289 Jan 22, 2021, 04:35 PM
SAPERSTEIN ANDREW M Head of Wealth Management Jan 22, 2021 Sale $72.55 19,832 1,438,812 156,239 Jan 22, 2021, 04:35 PM
SAPERSTEIN ANDREW M Head of Wealth Management Jan 21, 2021 Sale $74.01 10,218 756,249 176,071 Jan 22, 2021, 04:35 PM
PICK EDWARD N Head of Inst'l Securities Jan 21, 2021 Option Exercise $74.84 23,716 1,774,905 622,897 Jan 22, 2021, 04:34 PM
PICK EDWARD N Head of Inst'l Securities Jan 21, 2021 Sale $75.10 100,000 7,510,200 524,197 Jan 22, 2021, 04:34 PM
PRUZAN JONATHAN Chief Financial Officer Jan 21, 2021 Option Exercise $74.84 15,470 1,157,775 272,364 Jan 22, 2021, 04:33 PM
PRUZAN JONATHAN Chief Financial Officer Jan 22, 2021 Sale $74.53 18,880 1,407,060 253,484 Jan 22, 2021, 04:33 PM
GORMAN JAMES P Chairman and CEO Jan 21, 2021 Option Exercise $74.84 52,277 3,912,410 1,196,723 Jan 22, 2021, 04:29 PM
GORMAN JAMES P Chairman and CEO Jan 22, 2021 Sale $73.12 175,000 12,796,123 1,024,748 Jan 22, 2021, 04:29 PM
TRAQUINA PERRY M Director Dec 01, 2020 Option Exercise $63.25 1,067 67,484 56,866 Dec 03, 2020, 04:30 PM
OLAYAN HUTHAM S Director Dec 01, 2020 Option Exercise $63.25 751 47,498 192,228 Dec 03, 2020, 04:29 PM
GLOCER THOMAS H Director Dec 01, 2020 Option Exercise $63.25 1,265 80,007 87,991 Dec 03, 2020, 04:27 PM
CORLEY ELIZABETH Director Dec 01, 2020 Option Exercise $63.25 751 47,498 24,215 Dec 03, 2020, 04:26 PM
OLAYAN HUTHAM S Director Nov 12, 2020 Buy $55.40 25,000 1,385,000 28,129 Nov 16, 2020, 04:44 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jun 24, 2020 Sale $46.95 2 94 377,084,705 Oct 21, 2020, 08:44 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 19, 2020 Sale $0.97 1,020,122 986,878 377,084,608 Oct 21, 2020, 08:44 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Aug 02, 2019 Buy $44.32 179 7,933 396,296,624 Oct 21, 2020, 08:42 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner May 14, 2019 Buy $44.34 1,429 63,362 403,971,684 Oct 21, 2020, 08:42 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Mar 30, 2020 Sale $34.84 2 70 377,084,708 Oct 21, 2020, 08:42 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Feb 06, 2020 Sale $54.95 1,495 82,150 381,650,000 Oct 21, 2020, 08:42 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 19, 2017 Buy $47.74 2,122 101,304 432,019,275 Oct 21, 2020, 08:41 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Apr 03, 2018 Buy $53.06 743 39,424 432,019,499 Oct 21, 2020, 08:41 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 13, 2018 Sale $47.66 667 31,789 424,550,978 Oct 21, 2020, 08:41 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 13, 2017 Sale $48.24 176 8,490 432,019,100 Oct 21, 2020, 08:41 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner May 30, 2018 Sale $50.72 1,971 99,969 431,276,049 Oct 21, 2020, 08:41 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner May 21, 2018 Sale $54.34 279 15,161 431,278,020 Oct 21, 2020, 08:41 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jan 16, 2018 Sale $54.52 177 9,650 432,018,756 Oct 21, 2020, 08:41 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Dec 01, 2017 Sale $51.86 167 8,661 432,018,932 Oct 21, 2020, 08:41 PM
ROONEY ROBERT P Head of Tech/Ops/Resilience Aug 21, 2020 Option Exercise $52.22 18 940 206,050 Aug 25, 2020, 04:29 PM
ROONEY ROBERT P Head of Tech/Ops/Resilience Aug 01, 2020 Option Exercise $48.88 3,680 179,878 206,069 Aug 20, 2020, 04:08 PM
ROONEY ROBERT P Head of Tech/Ops/Resilience Jul 21, 2020 Sale $52.18 18,355 957,843 209,542 Jul 23, 2020, 04:12 PM
Hotsuki Keishi Chief Risk Officer Jul 20, 2020 Sale $52.00 19,000 988,000 243,666 Jul 22, 2020, 04:11 PM
SAPERSTEIN ANDREW M Head of Wealth Management Jul 17, 2020 Sale $52.56 28,846 1,516,195 118,478 Jul 21, 2020, 04:13 PM
GROSSMAN ERIC F Chief Legal Officer Jul 17, 2020 Sale $52.84 54,420 2,875,531 250,835 Jul 21, 2020, 04:10 PM
GORMAN JAMES P Chairman and CEO Jul 17, 2020 Sale $52.39 150,000 7,858,067 1,143,873 Jul 17, 2020, 04:14 PM
TRAQUINA PERRY M Director Jun 01, 2020 Option Exercise $44.74 1,509 67,516 55,086 Jun 03, 2020, 04:14 PM
SCHAPIRO MARY L Director Jun 01, 2020 Option Exercise $44.74 1,062 47,516 20,145 Jun 03, 2020, 04:14 PM
OLAYAN HUTHAM S Director Jun 01, 2020 Option Exercise $44.74 1,173 52,482 189,135 Jun 03, 2020, 04:13 PM
GLOCER THOMAS H Director Jun 01, 2020 Option Exercise $44.74 1,788 79,999 85,677 Jun 03, 2020, 04:08 PM
DARLING ALISTAIR Director Jun 01, 2020 Option Exercise $44.74 315 14,094 24,769 Jun 03, 2020, 04:07 PM
CORLEY ELIZABETH Director Jun 01, 2020 Option Exercise $44.74 1,062 47,516 23,164 Jun 03, 2020, 04:06 PM
BRODSKY JEFFREY S Chief Human Resources Officer Apr 28, 2020 Sale $40.57 18,174 737,319 141,863 Apr 28, 2020, 04:46 PM
LUCZO STEPHEN J Director Apr 17, 2020 Buy $38.68 19,000 734,871 190,000 Apr 20, 2020, 04:14 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Mar 16, 2020 Option Exercise $44.22 4,565,290 201,863,876 377,085,167 Mar 18, 2020, 08:52 PM
LUCZO STEPHEN J Director Feb 28, 2020 Buy $44.97 50,000 2,248,735 171,000 Mar 02, 2020, 04:33 PM
SIMKOWITZ DANIEL A Head of Investment Management Feb 28, 2020 Option Exercise $45.41 27,150 1,232,881 244,031 Feb 28, 2020, 04:27 PM
SAPERSTEIN ANDREW M Head of Wealth Management Feb 28, 2020 Option Exercise $45.41 18,407 835,862 146,320 Feb 28, 2020, 04:26 PM
PRUZAN JONATHAN Chief Financial Officer Feb 28, 2020 Option Exercise $45.41 24,440 1,109,820 212,493 Feb 28, 2020, 04:25 PM
PICK EDWARD N Head of Inst'l Securities Feb 28, 2020 Option Exercise $45.41 63,947 2,903,833 535,174 Feb 28, 2020, 04:24 PM
Hotsuki Keishi Chief Risk Officer Feb 28, 2020 Option Exercise $45.41 17,165 779,463 261,977 Feb 28, 2020, 04:23 PM
GROSSMAN ERIC F Chief Legal Officer Feb 28, 2020 Option Exercise $45.41 21,785 989,257 304,368 Feb 28, 2020, 04:21 PM
BRODSKY JEFFREY S Chief Human Resources Officer Feb 28, 2020 Option Exercise $45.41 13,203 599,548 160,037 Feb 28, 2020, 04:20 PM
GORMAN JAMES P Chairman and CEO Feb 28, 2020 Option Exercise $45.41 273,670 12,427,355 1,296,585 Feb 28, 2020, 04:19 PM
LUCZO STEPHEN J Director Feb 21, 2020 Buy $53.00 50,000 2,649,955 121,000 Feb 24, 2020, 04:09 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jan 29, 2020 Option Exercise $55.02 908,960 50,012,887 381,650,457 Jan 31, 2020, 06:14 AM
ROONEY ROBERT P Head of Tech/Ops/Resilience Jan 17, 2020 Option Exercise $56.44 2,407 135,851 227,420 Jan 17, 2020, 04:57 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 17, 2020 Option Exercise $56.44 19,789 1,116,891 153,977 Jan 17, 2020, 04:41 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 17, 2020 Option Exercise $56.44 6,165 347,953 146,060 Jan 17, 2020, 04:40 PM
Hotsuki Keishi Chief Risk Officer Jan 17, 2020 Option Exercise $56.44 9,689 546,847 243,776 Jan 17, 2020, 04:36 PM
GROSSMAN ERIC F Chief Legal Officer Jan 17, 2020 Option Exercise $56.44 13,799 778,816 281,258 Jan 17, 2020, 04:33 PM
SIMKOWITZ DANIEL A Head of Investment Management Jan 17, 2020 Option Exercise $56.44 18,504 1,044,366 219,464 Jan 17, 2020, 04:31 PM
PRUZAN JONATHAN Chief Financial Officer Jan 17, 2020 Option Exercise $56.44 15,940 899,654 190,626 Jan 17, 2020, 04:29 PM
GORMAN JAMES P Chairman and CEO Jan 17, 2020 Option Exercise $56.44 61,436 3,467,448 1,399,230 Jan 17, 2020, 04:28 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Dec 20, 2019 Option Exercise $49.16 4,690,554 230,587,634 382,559,417 Dec 23, 2019, 08:56 AM
WIRTH PAUL C Deputy Chief Financial Officer Nov 27, 2019 Sale $49.62 25,000 1,240,500 146,816 Dec 02, 2019, 04:28 PM
Hotsuki Keishi Chief Risk Officer Nov 27, 2019 Sale $49.78 26,000 1,294,249 228,530 Dec 02, 2019, 04:27 PM
TRAQUINA PERRY M Director Dec 01, 2019 Option Exercise $49.57 1,362 67,513 47,248 Dec 02, 2019, 04:24 PM
SCHAPIRO MARY L Director Dec 01, 2019 Option Exercise $49.57 958 47,487 13,288 Dec 02, 2019, 04:22 PM
OLAYAN HUTHAM S Director Dec 01, 2019 Option Exercise $49.57 1,059 52,494 179,680 Dec 02, 2019, 04:21 PM
GLOCER THOMAS H Director Dec 01, 2019 Option Exercise $49.57 1,614 80,005 77,162 Dec 02, 2019, 04:20 PM
CORLEY ELIZABETH Director Dec 01, 2019 Option Exercise $49.57 958 47,487 16,260 Dec 02, 2019, 04:19 PM
ROONEY ROBERT P Head of Tech/Ops/Resilience Nov 21, 2019 Sale $49.13 51,105 2,511,003 183,448 Nov 22, 2019, 04:14 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 29, 2019 Option Exercise $46.77 38,000 1,777,283 387,249,971 Oct 30, 2019, 06:05 AM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 29, 2019 Option Exercise $45.61 1,094,110 49,899,733 387,287,971 Oct 30, 2019, 06:05 AM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 20, 2019 Option Exercise $41.31 7,913,505 326,921,121 388,382,081 Sep 24, 2019, 07:15 AM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Aug 21, 2014 Buy $1.02 210,000 214,200 210,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 22, 2014 Buy $1.00 150,000 150,750 31,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 09, 2014 Buy $1.01 140,000 141,400 156,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 05, 2014 Buy $1.01 140,000 141,400 140,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Nov 18, 2014 Buy $1.01 39,000 39,351 0 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Apr 23, 2014 Buy $1.01 125,000 126,625 125,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 17, 2014 Buy $1.00 70,000 70,000 49,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 18, 2014 Buy $1.01 70,000 70,700 79,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 26, 2014 Buy $1.00 280,000 280,000 296,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 04, 2014 Buy $1.02 210,000 214,200 210,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Nov 07, 2014 Buy $1.00 140,000 140,000 101,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 10, 2014 Buy $1.01 70,000 70,700 86,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 25, 2014 Buy $1.00 250,000 249,750 81,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 09, 2014 Sale $1.05 140,000 147,000 16,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 05, 2014 Sale $1.05 140,000 147,000 0 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 24, 2014 Sale $1.00 20,000 20,060 169,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner May 06, 2014 Sale $1.02 125,000 127,000 0 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 17, 2014 Sale $1.04 70,000 72,800 119,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 18, 2014 Sale $1.05 70,000 73,500 149,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 26, 2014 Sale $1.04 280,000 291,200 16,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 04, 2014 Sale $1.06 210,000 222,600 0 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Nov 07, 2014 Sale $1.04 140,000 145,600 39,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 10, 2014 Sale $1.02 205,000 209,580 119,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 16, 2014 Sale $1.00 100,000 100,400 149,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 25, 2014 Sale $1.00 65,000 65,065 16,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Aug 21, 2014 Sale $1.06 210,000 222,600 0 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 24, 2014 Sale $1.00 70,000 70,350 39,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 15, 2014 Sale $1.00 49,000 49,245 49,000 Sep 20, 2019, 04:06 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jul 29, 2019 Option Exercise $45.02 1,557,900 70,136,968 396,295,586 Jul 31, 2019, 06:05 AM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jun 21, 2019 Option Exercise $44.11 6,117,339 269,839,491 397,853,486 Jun 25, 2019, 06:23 AM
TRAQUINA PERRY M Director Jun 01, 2019 Option Exercise $40.92 1,650 67,515 45,157 Jun 04, 2019, 04:25 PM
SCHAPIRO MARY L Director Jun 01, 2019 Option Exercise $40.92 1,161 47,506 12,134 Jun 04, 2019, 04:24 PM
OLAYAN HUTHAM S Director Jun 01, 2019 Option Exercise $40.92 1,283 52,498 175,909 Jun 04, 2019, 04:23 PM
GLOCER THOMAS H Director Jun 01, 2019 Option Exercise $40.92 1,955 79,995 74,419 Jun 04, 2019, 04:17 PM
CORLEY ELIZABETH Director Jun 01, 2019 Option Exercise $40.92 1,161 47,506 15,058 Jun 04, 2019, 04:14 PM
DARLING ALISTAIR Director May 24, 2019 Option Exercise $42.96 511 21,952 18,382 May 29, 2019, 04:40 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Apr 26, 2019 Option Exercise $47.43 896,400 42,513,472 403,970,825 Apr 30, 2019, 06:05 AM
SIMKOWITZ DANIEL A Head of Investment Management Apr 18, 2019 Buy $47.57 7,000 332,979 193,089 Apr 22, 2019, 04:07 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Mar 22, 2019 Option Exercise $42.13 6,235,970 262,710,195 404,867,225 Mar 26, 2019, 06:05 AM
WIRTH PAUL C Deputy Chief Financial Officer Feb 26, 2019 Sale $42.40 25,000 1,060,073 169,031 Feb 28, 2019, 04:13 PM
BRODSKY JEFFREY S Chief Human Resources Officer Feb 26, 2019 Option Exercise $42.19 19,561 825,279 133,179 Feb 28, 2019, 04:11 PM
Hotsuki Keishi Chief Risk Officer Feb 26, 2019 Option Exercise $42.19 25,738 1,085,886 254,842 Feb 28, 2019, 04:11 PM
GROSSMAN ERIC F Chief Legal Officer Feb 26, 2019 Option Exercise $42.19 31,450 1,326,875 260,242 Feb 28, 2019, 04:09 PM
SIMKOWITZ DANIEL A Head of Investment Management Feb 26, 2019 Option Exercise $42.19 43,857 1,850,327 186,089 Feb 28, 2019, 04:08 PM
PRUZAN JONATHAN Chief Financial Officer Feb 26, 2019 Option Exercise $42.19 36,840 1,554,280 166,224 Feb 28, 2019, 04:07 PM
KELLEHER THOMAS COLM President Feb 26, 2019 Option Exercise $42.19 73,038 3,081,473 978,989 Feb 28, 2019, 04:06 PM
GORMAN JAMES P Chairman and CEO Feb 26, 2019 Option Exercise $42.19 131,068 5,529,759 1,453,155 Feb 28, 2019, 04:04 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jan 29, 2019 Option Exercise $42.54 1,167,007 49,642,729 411,103,195 Jan 31, 2019, 09:45 AM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jan 18, 2019 Option Exercise $46.00 700,000 32,200,000 412,270,202 Jan 23, 2019, 06:01 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 18, 2019 Sale $43.38 15,565 675,152 112,420 Jan 23, 2019, 04:53 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 18, 2019 Option Exercise $42.53 34,242 1,456,312 193,173 Jan 18, 2019, 04:31 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 18, 2019 Option Exercise $42.53 11,281 479,781 127,985 Jan 18, 2019, 04:30 PM
Hotsuki Keishi Chief Risk Officer Jan 18, 2019 Option Exercise $42.53 17,508 744,615 227,498 Jan 18, 2019, 04:29 PM
GROSSMAN ERIC F Chief Legal Officer Jan 18, 2019 Option Exercise $42.53 21,595 918,435 227,103 Jan 18, 2019, 04:28 PM
SIMKOWITZ DANIEL A Head of Investment Management Jan 18, 2019 Option Exercise $42.53 33,369 1,419,184 146,764 Jan 18, 2019, 04:27 PM
PRUZAN JONATHAN Chief Financial Officer Jan 18, 2019 Option Exercise $42.53 26,460 1,125,344 133,404 Jan 18, 2019, 04:26 PM
KELLEHER THOMAS COLM President Jan 18, 2019 Option Exercise $42.53 12,293 522,821 912,004 Jan 18, 2019, 04:25 PM
GORMAN JAMES P Chairman and CEO Jan 18, 2019 Option Exercise $42.53 96,230 4,092,662 1,343,309 Jan 18, 2019, 04:23 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Dec 20, 2018 Option Exercise $43.28 5,408,450 234,065,269 412,970,202 Dec 26, 2018, 10:28 AM
TRAQUINA PERRY M Director Dec 01, 2018 Option Exercise $44.27 1,299 57,511 36,880 Dec 04, 2018, 04:18 PM
SCHAPIRO MARY L Director Dec 01, 2018 Option Exercise $44.27 640 28,335 4,796 Dec 04, 2018, 04:17 PM
OLAYAN HUTHAM S Director Dec 01, 2018 Option Exercise $44.27 1,073 47,505 166,291 Dec 04, 2018, 04:16 PM
GLOCER THOMAS H Director Dec 01, 2018 Option Exercise $44.27 1,638 72,519 65,497 Dec 04, 2018, 04:15 PM
CORLEY ELIZABETH Director Dec 01, 2018 Option Exercise $44.27 960 42,502 7,680 Dec 04, 2018, 04:14 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 30, 2018 Option Exercise $45.32 1,727,280 78,287,584 417,640,652 Oct 31, 2018, 06:10 AM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 21, 2018 Option Exercise $48.96 5,053,616 247,446,260 419,367,932 Sep 25, 2018, 06:39 AM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jul 27, 2018 Option Exercise $50.77 1,285,200 65,253,718 424,421,548 Jul 30, 2018, 06:06 AM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jun 22, 2018 Option Exercise $52.28 5,439,204 284,341,452 425,706,748 Jun 25, 2018, 06:05 AM
TRAQUINA PERRY M Director May 24, 2018 Option Exercise $53.74 1,070 57,501 35,116 May 29, 2018, 04:22 PM
OWENS JAMES W Director May 24, 2018 Option Exercise $53.74 884 47,506 82,783 May 29, 2018, 04:21 PM
OLAYAN HUTHAM S Director May 24, 2018 Option Exercise $53.74 884 47,506 163,166 May 29, 2018, 04:19 PM
GLOCER THOMAS H Director May 24, 2018 Option Exercise $53.74 1,349 72,495 63,085 May 29, 2018, 04:15 PM
CORLEY ELIZABETH Director May 24, 2018 Option Exercise $53.74 512 27,515 6,632 May 29, 2018, 04:10 PM
DARLING ALISTAIR Director May 22, 2018 Option Exercise $55.04 485 26,695 13,847 May 24, 2018, 04:39 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Apr 26, 2018 Option Exercise $53.42 871,200 46,540,898 431,145,952 Apr 27, 2018, 06:05 AM
BRODSKY JEFFREY S Chief Human Resources Officer Feb 27, 2018 Option Exercise $57.01 17,461 995,452 120,702 Mar 01, 2018, 04:23 PM
Hotsuki Keishi Chief Risk Officer Feb 27, 2018 Option Exercise $57.01 21,825 1,244,243 230,051 Mar 01, 2018, 04:21 PM
GROSSMAN ERIC F Chief Legal Officer Feb 27, 2018 Option Exercise $57.01 26,191 1,493,149 216,492 Mar 01, 2018, 04:18 PM
KELLEHER THOMAS COLM President Feb 27, 2018 Option Exercise $57.01 72,340 4,124,103 771,782 Mar 01, 2018, 04:16 PM
GORMAN JAMES P Chairman and CEO Feb 27, 2018 Option Exercise $57.01 102,792 5,860,172 1,280,691 Mar 01, 2018, 04:14 PM
WIRTH PAUL C Deputy Chief Financial Officer Feb 26, 2018 Sale $56.91 20,000 1,138,110 186,003 Feb 28, 2018, 04:48 PM
PRUZAN JONATHAN Chief Financial Officer Feb 16, 2018 Sale $55.35 52,204 2,889,361 124,613 Feb 16, 2018, 04:19 PM
BRODSKY JEFFREY S Chief Human Resources Officer Feb 14, 2018 Sale $54.97 11,054 607,600 102,221 Feb 16, 2018, 04:18 PM
GROSSMAN ERIC F Chief Legal Officer Feb 14, 2018 Sale $54.72 17,421 953,296 188,674 Feb 16, 2018, 04:17 PM
GORMAN JAMES P Chairman and CEO Feb 15, 2018 Sale $55.34 100,000 5,533,810 1,235,468 Feb 16, 2018, 04:16 PM
SIMKOWITZ DANIEL A Head of Investment Management Feb 14, 2018 Sale $53.79 32,181 1,730,935 143,876 Feb 15, 2018, 04:09 PM
SIMKOWITZ DANIEL A Head of Investment Management Feb 13, 2018 Sale $53.41 54,869 2,930,679 185,428 Feb 15, 2018, 04:09 PM
BOWLES ERSKINE B Director Feb 01, 2018 Option Exercise $57.02 417 23,776 160,733 Feb 05, 2018, 04:24 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 19, 2018 Option Exercise $55.84 35,889 2,004,042 205,285 Jan 19, 2018, 04:42 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 19, 2018 Option Exercise $55.84 14,782 825,427 113,275 Jan 19, 2018, 04:41 PM
Hotsuki Keishi Chief Risk Officer Jan 19, 2018 Option Exercise $55.84 22,381 1,249,755 206,903 Jan 19, 2018, 04:40 PM
GROSSMAN ERIC F Chief Legal Officer Jan 19, 2018 Option Exercise $55.84 29,946 1,672,185 206,095 Jan 19, 2018, 04:39 PM
SIMKOWITZ DANIEL A Head of Investment Management Jan 19, 2018 Option Exercise $55.84 69,851 3,900,480 240,297 Jan 19, 2018, 04:38 PM
PRUZAN JONATHAN Chief Financial Officer Jan 19, 2018 Option Exercise $55.84 54,223 3,027,812 176,255 Jan 19, 2018, 04:37 PM
KELLEHER THOMAS COLM President Jan 19, 2018 Option Exercise $55.84 25,792 1,440,225 700,947 Jan 19, 2018, 04:36 PM
GORMAN JAMES P Chairman and CEO Jan 19, 2018 Option Exercise $55.84 69,770 3,895,957 1,341,712 Jan 19, 2018, 04:34 PM
Hotsuki Keishi Chief Risk Officer Nov 28, 2017 Sale $50.00 25,000 1,250,000 207,270 Nov 30, 2017, 04:05 PM
TRAQUINA PERRY M Director Nov 22, 2017 Option Exercise $49.25 1,167 57,478 29,135 Nov 27, 2017, 04:44 PM
OWENS JAMES W Director Nov 22, 2017 Option Exercise $49.25 1,032 50,829 81,339 Nov 27, 2017, 04:42 PM
OLAYAN HUTHAM S Director Nov 22, 2017 Option Exercise $49.25 964 47,480 156,286 Nov 27, 2017, 04:41 PM
GLOCER THOMAS H Director Nov 22, 2017 Option Exercise $49.25 1,201 59,152 56,616 Nov 27, 2017, 04:40 PM
DARLING ALISTAIR Director Nov 24, 2017 Sale $49.29 3,850 189,785 14,218 Nov 27, 2017, 04:39 PM
BOWLES ERSKINE B Director Nov 22, 2017 Option Exercise $49.25 1,303 64,176 160,335 Nov 27, 2017, 04:38 PM
KELLEHER THOMAS COLM President Oct 23, 2017 Sale $50.59 40,000 2,023,516 692,037 Oct 25, 2017, 04:07 PM
GROSSMAN ERIC F Chief Legal Officer Oct 18, 2017 Sale $49.83 26,083 1,299,638 206,203 Oct 20, 2017, 04:16 PM
BRODSKY JEFFREY S Chief Human Resources Officer Oct 18, 2017 Sale $50.07 16,397 821,024 111,776 Oct 20, 2017, 04:15 PM
GORMAN JAMES P Chairman and CEO Aug 01, 2017 Option Exercise $30.01 212,366 6,373,104 1,602,609 Aug 03, 2017, 04:06 PM
GORMAN JAMES P Chairman and CEO Aug 01, 2017 Sale $47.26 212,366 10,037,011 1,390,243 Aug 03, 2017, 04:06 PM
PRUZAN JONATHAN Chief Financial Officer Jul 20, 2017 Sale $46.68 25,767 1,202,834 196,708 Jul 21, 2017, 04:05 PM
TRAQUINA PERRY M Director May 22, 2017 Option Exercise $41.73 1,198 49,990 27,675 May 24, 2017, 04:34 PM
OLAYAN HUTHAM S Director May 22, 2017 Option Exercise $41.73 1,138 47,486 153,781 May 24, 2017, 04:28 PM
GLOCER THOMAS H Director May 22, 2017 Option Exercise $41.73 1,258 52,494 54,882 May 24, 2017, 04:17 PM
BOWLES ERSKINE B Director May 22, 2017 Option Exercise $41.73 1,737 72,481 157,369 May 24, 2017, 04:13 PM
DARLING ALISTAIR Director May 17, 2017 Option Exercise $41.15 810 33,335 11,945 May 19, 2017, 04:27 PM
GORMAN JAMES P Chairman and CEO May 10, 2017 Option Exercise $30.01 212,365 6,373,074 1,600,578 May 12, 2017, 04:07 PM
GORMAN JAMES P Chairman and CEO May 10, 2017 Sale $42.93 212,365 9,117,530 1,388,213 May 12, 2017, 04:07 PM
BRODSKY JEFFREY S Chief Human Resources Officer Mar 01, 2017 Option Exercise $45.67 16,629 759,446 127,365 Mar 03, 2017, 04:42 PM
Hotsuki Keishi Chief Risk Officer Mar 01, 2017 Option Exercise $45.67 20,588 940,254 240,511 Mar 03, 2017, 04:42 PM
GROSSMAN ERIC F Chief Legal Officer Mar 01, 2017 Option Exercise $45.67 25,340 1,157,278 230,788 Mar 03, 2017, 04:07 PM
KELLEHER THOMAS COLM President Mar 01, 2017 Option Exercise $45.67 73,159 3,341,171 730,657 Mar 03, 2017, 04:05 PM
GORMAN JAMES P Chairman and CEO Mar 01, 2017 Option Exercise $45.67 102,861 4,697,662 1,390,502 Mar 03, 2017, 04:04 PM
DARLING ALISTAIR Director Feb 15, 2017 Option Exercise $46.48 1 46 12,703 Feb 17, 2017, 04:16 PM
WIRTH PAUL C Deputy Chief Financial Officer Feb 14, 2017 Sale $46.03 12,481 574,563 203,557 Feb 15, 2017, 04:15 PM
KELLEHER THOMAS COLM President Feb 08, 2017 Option Exercise $30.01 182,027 5,462,630 836,809 Feb 10, 2017, 04:04 PM
KELLEHER THOMAS COLM President Feb 08, 2017 Sale $43.82 182,027 7,976,587 654,782 Feb 10, 2017, 04:04 PM
DARLING ALISTAIR Director Feb 01, 2017 Option Exercise $42.94 291 12,495 12,648 Feb 02, 2017, 04:05 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 26, 2017 Sale $44.25 10,000 442,541 216,038 Jan 27, 2017, 04:13 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 18, 2017 Option Exercise $42.15 15,130 637,730 226,038 Jan 20, 2017, 04:13 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 18, 2017 Option Exercise $42.15 9,243 389,592 123,155 Jan 20, 2017, 04:11 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 19, 2017 Sale $42.37 11,755 498,058 111,400 Jan 20, 2017, 04:11 PM
Hotsuki Keishi Chief Risk Officer Jan 18, 2017 Option Exercise $42.15 13,334 562,028 220,679 Jan 20, 2017, 04:10 PM
GROSSMAN ERIC F Chief Legal Officer Jan 18, 2017 Option Exercise $42.15 18,191 766,751 223,909 Jan 20, 2017, 04:09 PM
GROSSMAN ERIC F Chief Legal Officer Jan 19, 2017 Sale $42.14 17,562 739,992 206,347 Jan 20, 2017, 04:09 PM
SIMKOWITZ DANIEL A Head of Investment Management Jan 18, 2017 Option Exercise $42.15 30,887 1,301,887 271,961 Jan 20, 2017, 04:08 PM
PRUZAN JONATHAN Chief Financial Officer Jan 18, 2017 Option Exercise $42.15 25,189 1,061,716 220,733 Jan 20, 2017, 04:06 PM
KELLEHER THOMAS COLM President Jan 18, 2017 Option Exercise $42.15 46,368 1,954,411 654,782 Jan 20, 2017, 04:05 PM
GORMAN JAMES P Chairman and CEO Jan 18, 2017 Option Exercise $42.15 42,328 1,784,125 1,304,372 Jan 20, 2017, 04:03 PM
GORMAN JAMES P Chairman and CEO Jan 19, 2017 Option Exercise $22.98 284,827 6,545,324 1,589,199 Jan 20, 2017, 04:03 PM
GORMAN JAMES P Chairman and CEO Jan 19, 2017 Sale $42.30 284,827 12,047,214 1,304,372 Jan 20, 2017, 04:03 PM
GORMAN JAMES P Chairman and CEO Nov 30, 2016 Sale $41.38 100,000 4,138,100 1,229,408 Dec 02, 2016, 04:08 PM
SIMKOWITZ DANIEL A Head of Investment Management Dec 01, 2016 Option Exercise $30.01 121,351 3,641,744 385,473 Dec 02, 2016, 04:06 PM
SIMKOWITZ DANIEL A Head of Investment Management Dec 01, 2016 Sale $42.05 121,351 5,102,919 264,122 Dec 02, 2016, 04:06 PM
ROSENTHAL JAMES A Chief Operating Officer Nov 18, 2016 Option Exercise $30.01 121,351 3,641,744 294,261 Nov 21, 2016, 04:06 PM
ROSENTHAL JAMES A Chief Operating Officer Nov 18, 2016 Sale $40.34 111,200 4,485,430 183,061 Nov 21, 2016, 04:06 PM
TRAQUINA PERRY M Director Nov 17, 2016 Option Exercise $39.71 1,070 42,490 20,304 Nov 18, 2016, 04:09 PM
OLAYAN HUTHAM S Director Nov 17, 2016 Option Exercise $39.71 1,196 47,493 145,424 Nov 18, 2016, 04:08 PM
GLOCER THOMAS H Director Nov 17, 2016 Option Exercise $39.71 1,322 52,497 47,251 Nov 18, 2016, 04:07 PM
BOWLES ERSKINE B Director Nov 17, 2016 Option Exercise $39.71 1,700 67,507 148,315 Nov 18, 2016, 04:05 PM
WIRTH PAUL C Deputy Chief Financial Officer Nov 14, 2016 Option Exercise $30.01 60,675 1,820,857 256,026 Nov 16, 2016, 04:11 PM
WIRTH PAUL C Deputy Chief Financial Officer Nov 14, 2016 Sale $39.00 60,675 2,366,380 195,351 Nov 16, 2016, 04:11 PM
BRODSKY JEFFREY S Chief Human Resources Officer Nov 14, 2016 Option Exercise $30.01 60,675 1,820,857 175,012 Nov 16, 2016, 04:10 PM
BRODSKY JEFFREY S Chief Human Resources Officer Nov 14, 2016 Sale $39.12 60,675 2,373,503 114,337 Nov 16, 2016, 04:10 PM
GORMAN JAMES P Chairman and CEO Nov 11, 2016 Option Exercise $22.98 200,000 4,596,000 1,566,192 Nov 14, 2016, 06:18 PM
GORMAN JAMES P Chairman and CEO Nov 11, 2016 Sale $37.70 200,000 7,540,460 1,366,192 Nov 14, 2016, 06:18 PM
KELLEHER THOMAS COLM President Nov 10, 2016 Option Exercise $22.98 222,713 5,117,945 863,335 Nov 14, 2016, 06:17 PM
KELLEHER THOMAS COLM President Nov 10, 2016 Sale $38.15 219,294 8,366,420 708,168 Nov 14, 2016, 06:17 PM
GROSSMAN ERIC F Chief Legal Officer Nov 11, 2016 Option Exercise $30.01 60,675 1,820,857 269,111 Nov 14, 2016, 06:16 PM
GROSSMAN ERIC F Chief Legal Officer Nov 11, 2016 Sale $37.84 60,675 2,296,063 208,436 Nov 14, 2016, 06:16 PM
SIMKOWITZ DANIEL A Head of Investment Management Nov 10, 2016 Sale $37.56 60,119 2,257,961 262,784 Nov 10, 2016, 04:26 PM
PRUZAN JONATHAN Chief Financial Officer Nov 08, 2016 Sale $33.90 44,625 1,512,667 210,814 Nov 09, 2016, 04:15 PM
ROSENTHAL JAMES A Chief Operating Officer Oct 27, 2016 Option Exercise $22.98 74,009 1,700,727 246,043 Oct 31, 2016, 04:07 PM
ROSENTHAL JAMES A Chief Operating Officer Oct 27, 2016 Sale $33.89 66,500 2,253,978 179,543 Oct 31, 2016, 04:07 PM
GROSSMAN ERIC F Chief Legal Officer Oct 21, 2016 Option Exercise $22.98 247,570 5,689,158 428,836 Oct 24, 2016, 04:35 PM
GROSSMAN ERIC F Chief Legal Officer Oct 21, 2016 Sale $33.22 220,400 7,322,349 208,436 Oct 24, 2016, 04:35 PM
ROSENTHAL JAMES A Chief Operating Officer Oct 20, 2016 Option Exercise $22.98 200,000 4,596,000 372,034 Oct 24, 2016, 04:34 PM
ROSENTHAL JAMES A Chief Operating Officer Oct 20, 2016 Sale $32.85 189,000 6,207,875 183,034 Oct 24, 2016, 04:34 PM
KELLEHER THOMAS COLM President Oct 20, 2016 Option Exercise $22.98 222,712 5,117,922 863,334 Oct 24, 2016, 04:32 PM
KELLEHER THOMAS COLM President Oct 20, 2016 Sale $32.90 222,712 7,328,026 640,622 Oct 24, 2016, 04:32 PM
WIRTH PAUL C Deputy Chief Financial Officer Aug 30, 2016 Sale $31.70 18,929 600,051 195,748 Sep 01, 2016, 04:11 PM
Hotsuki Keishi Chief Risk Officer Aug 17, 2016 Option Exercise $22.98 230,870 5,305,392 455,191 Aug 18, 2016, 04:14 PM
Hotsuki Keishi Chief Risk Officer Aug 17, 2016 Sale $30.27 246,452 7,458,982 224,321 Aug 18, 2016, 04:14 PM
WIRTH PAUL C Deputy Chief Financial Officer Aug 16, 2016 Sale $30.20 20,000 604,000 214,280 Aug 17, 2016, 04:43 PM
Nicolaisen Donald T Director Aug 02, 2016 Sale $27.88 3,302 92,062 91,704 Aug 04, 2016, 04:21 PM
ROSENTHAL JAMES A Chief Operating Officer Jul 25, 2016 Option Exercise $22.98 100,000 2,298,000 270,880 Jul 27, 2016, 04:53 PM
ROSENTHAL JAMES A Chief Operating Officer Jul 25, 2016 Sale $29.06 91,426 2,657,086 179,454 Jul 27, 2016, 04:53 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jul 21, 2016 Sale $28.79 19,955 574,584 123,710 Jul 22, 2016, 04:41 PM
KELLEHER THOMAS COLM President Jul 21, 2016 Option Exercise $28.78 20,411 587,429 639,429 Jul 22, 2016, 04:40 PM
GROSSMAN ERIC F Chief Legal Officer May 25, 2016 Sale $28.21 24,952 703,871 180,212 May 26, 2016, 04:37 PM
TRAQUINA PERRY M Director May 17, 2016 Option Exercise $26.25 1,619 42,491 19,008 May 19, 2016, 04:32 PM
OLAYAN HUTHAM S Director May 17, 2016 Option Exercise $26.25 1,810 47,504 142,628 May 19, 2016, 04:31 PM
Miscik Judith A Director May 17, 2016 Option Exercise $26.25 724 19,002 21,495 May 19, 2016, 04:29 PM
GLOCER THOMAS H Director May 17, 2016 Option Exercise $26.25 2,000 52,491 45,443 May 19, 2016, 04:28 PM
BOWLES ERSKINE B Director May 17, 2016 Option Exercise $26.25 2,381 62,491 144,894 May 19, 2016, 04:24 PM
ROSENTHAL JAMES A Chief Operating Officer Feb 26, 2016 Sale $25.13 50,000 1,256,350 170,197 Mar 01, 2016, 04:48 PM
BRODSKY JEFFREY S Chief Human Resources Officer Feb 25, 2016 Option Exercise $23.71 24,335 576,983 133,218 Feb 26, 2016, 04:11 PM
Hotsuki Keishi Chief Risk Officer Feb 25, 2016 Option Exercise $23.71 30,419 721,234 222,813 Feb 26, 2016, 04:10 PM
GROSSMAN ERIC F Chief Legal Officer Feb 25, 2016 Option Exercise $23.71 36,503 865,486 204,274 Feb 26, 2016, 04:08 PM
ROSENTHAL JAMES A Chief Operating Officer Feb 25, 2016 Option Exercise $23.71 90,550 2,146,940 241,575 Feb 26, 2016, 04:07 PM
KELLEHER THOMAS COLM President Feb 25, 2016 Option Exercise $23.71 83,174 1,972,055 658,586 Feb 26, 2016, 04:07 PM
GORMAN JAMES P Chairman and CEO Feb 25, 2016 Option Exercise $23.71 123,478 2,927,663 1,383,156 Feb 26, 2016, 04:06 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 20, 2016 Option Exercise $26.26 27,043 710,149 230,646 Jan 22, 2016, 04:14 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 20, 2016 Option Exercise $26.26 15,330 402,566 109,821 Jan 22, 2016, 04:13 PM
Hotsuki Keishi Chief Risk Officer Jan 20, 2016 Option Exercise $26.26 5,924 155,564 193,484 Jan 22, 2016, 04:12 PM
GROSSMAN ERIC F Chief Legal Officer Jan 20, 2016 Option Exercise $26.26 7,625 200,233 169,011 Jan 22, 2016, 04:10 PM
ROSENTHAL JAMES A Chief Operating Officer Jan 20, 2016 Option Exercise $26.26 9,434 247,737 181,977 Jan 22, 2016, 04:09 PM
PRUZAN JONATHAN Chief Financial Officer Jan 20, 2016 Option Exercise $26.26 44,496 1,168,465 251,517 Jan 22, 2016, 04:08 PM
KELLEHER THOMAS COLM President Jan 20, 2016 Option Exercise $26.26 31,718 832,915 563,413 Jan 22, 2016, 04:07 PM
GORMAN JAMES P Chairman and CEO Jan 20, 2016 Option Exercise $26.26 17,067 448,179 1,282,928 Jan 22, 2016, 04:06 PM
TRAQUINA PERRY M Director Nov 19, 2015 Option Exercise $34.20 1,243 42,513 7,767 Nov 20, 2015, 05:26 PM
OLAYAN HUTHAM S Director Nov 19, 2015 Option Exercise $34.20 1,389 47,506 129,787 Nov 20, 2015, 04:55 PM
Miscik Judith A Director Nov 19, 2015 Option Exercise $34.20 556 19,016 11,131 Nov 20, 2015, 04:54 PM
GLOCER THOMAS H Director Nov 19, 2015 Option Exercise $34.20 1,535 52,500 33,535 Nov 20, 2015, 04:52 PM
BOWLES ERSKINE B Director Nov 19, 2015 Option Exercise $34.20 1,754 59,990 131,364 Nov 20, 2015, 04:50 PM
ROSENTHAL JAMES A Chief Operating Officer Jul 31, 2015 Sale $39.25 12,000 471,000 135,384 Aug 04, 2015, 05:11 PM
KELLEHER THOMAS COLM President, Inst'l Securities Jul 21, 2015 Option Exercise $40.04 15,555 622,822 468,423 Jul 23, 2015, 04:51 PM
Nicolaisen Donald T Director May 26, 2015 Sale $37.77 4,160 157,127 81,872 May 27, 2015, 05:57 PM
OLAYAN HUTHAM S Director May 19, 2015 Option Exercise $38.64 1,100 42,503 127,397 May 21, 2015, 04:47 PM
Miscik Judith A Director May 19, 2015 Option Exercise $38.64 414 15,997 10,487 May 21, 2015, 04:44 PM
GLOCER THOMAS H Director May 19, 2015 Option Exercise $38.64 1,316 50,849 31,742 May 21, 2015, 04:40 PM
DAVIES HOWARD J Director May 19, 2015 Option Exercise $38.64 4,792 185,159 67,151 May 21, 2015, 04:38 PM
BOWLES ERSKINE B Director May 19, 2015 Option Exercise $38.64 1,488 57,495 128,531 May 21, 2015, 04:36 PM
DAVIES HOWARD J Director May 15, 2015 Option Exercise $37.88 262 9,924 71,947 May 19, 2015, 05:40 PM
DAVIES HOWARD J Director May 13, 2015 Option Exercise $37.71 860 32,434 72,005 May 14, 2015, 04:32 PM
WIRTH PAUL C Deputy Chief Financial Officer May 11, 2015 Sale $38.37 39,462 1,513,960 179,582 May 12, 2015, 05:20 PM
KELLEHER THOMAS COLM President, Inst'l Securities Apr 29, 2015 Sale $36.72 32,833 1,205,628 483,225 May 01, 2015, 04:10 PM
ROSENTHAL JAMES A Chief Operating Officer Apr 21, 2015 Sale $37.10 50,030 1,856,113 147,384 Apr 21, 2015, 05:17 PM
GROSSMAN ERIC F Chief Legal Officer Apr 21, 2015 Sale $37.10 34,481 1,279,314 124,646 Apr 21, 2015, 05:14 PM
WIRTH PAUL C Deputy Chief Financial Officer Mar 02, 2015 Option Exercise $35.79 11,768 421,177 219,044 Mar 02, 2015, 04:59 PM
Hotsuki Keishi Chief Risk Officer Mar 02, 2015 Option Exercise $35.79 26,430 945,930 158,488 Mar 02, 2015, 04:57 PM
GROSSMAN ERIC F Chief Legal Officer Mar 02, 2015 Option Exercise $35.79 10,260 367,205 159,127 Mar 02, 2015, 04:56 PM
ROSENTHAL JAMES A Chief Operating Officer Mar 02, 2015 Option Exercise $35.79 47,358 1,694,943 157,871 Mar 02, 2015, 04:54 PM
Porat Ruth Chief Financial Officer Mar 02, 2015 Option Exercise $35.79 52,257 1,870,278 881,037 Mar 02, 2015, 04:53 PM
KELLEHER THOMAS COLM President, Inst'l Securities Mar 02, 2015 Option Exercise $35.79 46,553 1,666,132 516,058 Mar 02, 2015, 04:51 PM
FLEMING GREGORY J President-Wealth & Invest Mgt Mar 02, 2015 Option Exercise $35.79 51,296 1,835,884 512,195 Mar 02, 2015, 04:50 PM
GORMAN JAMES P Chairman and CEO Mar 02, 2015 Option Exercise $35.79 63,362 2,267,726 1,140,174 Mar 02, 2015, 04:44 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 21, 2015 Option Exercise $34.75 32,339 1,123,780 229,009 Jan 23, 2015, 04:23 PM
WIRTH PAUL C Deputy Chief Financial Officer Dec 04, 2014 Option Exercise $35.56 1,468 52,195 183,420 Jan 23, 2015, 04:23 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 23, 2015 Sale $35.45 21,500 762,189 227,609 Jan 23, 2015, 04:23 PM
Hotsuki Keishi Chief Risk Officer Jan 21, 2015 Option Exercise $34.75 29,698 1,032,006 133,415 Jan 23, 2015, 04:22 PM
GROSSMAN ERIC F Chief Legal Officer Jan 21, 2015 Option Exercise $34.75 20,560 714,460 149,163 Jan 23, 2015, 04:21 PM
ROSENTHAL JAMES A Chief Operating Officer Jan 21, 2015 Option Exercise $34.75 52,533 1,825,522 172,153 Jan 23, 2015, 04:19 PM
Porat Ruth Chief Financial Officer Jan 21, 2015 Option Exercise $34.75 73,366 2,549,469 839,157 Jan 23, 2015, 04:18 PM
KELLEHER THOMAS COLM President, Inst'l Securities Jan 21, 2015 Option Exercise $34.75 42,903 1,490,879 463,050 Jan 23, 2015, 04:17 PM
FLEMING GREGORY J President-Wealth & Invest Mgt Jan 21, 2015 Option Exercise $34.75 60,269 2,094,348 463,533 Jan 23, 2015, 04:15 PM
GORMAN JAMES P Chairman and CEO Jan 21, 2015 Option Exercise $34.75 94,613 3,287,802 1,075,725 Jan 23, 2015, 04:14 PM
TYSON LAURA D Director Nov 26, 2014 Sale $35.30 25,000 882,435 69,791 Nov 26, 2014, 04:18 PM
DAVIES HOWARD J Director Nov 15, 2014 Option Exercise $35.77 421 15,061 72,725 Nov 18, 2014, 04:51 PM
OLAYAN HUTHAM S Director Nov 13, 2014 Option Exercise $35.80 1,187 42,500 118,779 Nov 14, 2014, 05:34 PM
GLOCER THOMAS H Director Nov 13, 2014 Option Exercise $35.80 1,257 45,006 23,744 Nov 14, 2014, 05:31 PM
BOWLES ERSKINE B Director Nov 13, 2014 Option Exercise $35.80 1,606 57,502 119,443 Nov 14, 2014, 05:28 PM
SEXTON O GRIFFITH Director Nov 01, 2014 Option Exercise $35.01 1,214 42,499 744,176 Nov 04, 2014, 05:17 PM
GROSSMAN ERIC F Chief Legal Officer Aug 25, 2014 Option Exercise $22.98 54,500 1,252,410 161,621 Aug 26, 2014, 05:15 PM
GROSSMAN ERIC F Chief Legal Officer Aug 25, 2014 Sale $34.29 54,500 1,868,723 107,121 Aug 26, 2014, 05:15 PM
WIRTH PAUL C Deputy Chief Financial Officer Aug 25, 2014 Sale $34.44 10,000 344,400 184,502 Aug 26, 2014, 05:09 PM
GROSSMAN ERIC F Chief Legal Officer Jul 23, 2014 Option Exercise $22.98 35,000 804,300 141,790 Jul 25, 2014, 05:14 PM
GROSSMAN ERIC F Chief Legal Officer Jul 23, 2014 Sale $32.90 35,000 1,151,395 106,790 Jul 25, 2014, 05:14 PM
FLEMING GREGORY J President-Wealth & Invest Mgt Jul 22, 2014 Option Exercise $22.98 100,000 2,298,000 538,430 Jul 24, 2014, 05:04 PM
FLEMING GREGORY J President-Wealth & Invest Mgt Jul 22, 2014 Sale $33.02 100,000 3,301,730 438,430 Jul 24, 2014, 05:04 PM
KELLEHER THOMAS COLM President, Inst'l Securities Jul 21, 2014 Option Exercise $32.53 2,750 89,471 401,420 Jul 23, 2014, 05:10 PM
ROSENTHAL JAMES A Chief Operating Officer Jul 18, 2014 Sale $32.50 30,800 1,001,000 107,843 Jul 18, 2014, 04:38 PM
DAVIES HOWARD J Director May 15, 2014 Option Exercise $29.57 262 7,748 72,828 May 16, 2014, 05:34 PM
DAVIES HOWARD J Director May 14, 2014 Option Exercise $30.19 1,076 32,485 72,913 May 16, 2014, 05:34 PM
SEXTON O GRIFFITH Director May 13, 2014 Option Exercise $30.42 1,397 42,494 742,291 May 15, 2014, 05:54 PM
OLAYAN HUTHAM S Director May 13, 2014 Option Exercise $30.42 1,397 42,494 116,918 May 15, 2014, 05:53 PM
Herz Robert H Director Feb 05, 2014 Option Exercise $29.02 2 58 47 May 15, 2014, 05:49 PM
Herz Robert H Director Jan 22, 2014 Option Exercise $32.80 45 1,476 45 May 15, 2014, 05:49 PM
GLOCER THOMAS H Director May 13, 2014 Option Exercise $30.42 1,397 42,494 22,381 May 15, 2014, 05:49 PM
BOWLES ERSKINE B Director May 13, 2014 Option Exercise $30.42 1,726 52,501 117,112 May 15, 2014, 05:47 PM
Hotsuki Keishi Chief Risk Officer May 09, 2014 Sale $29.50 3,528 104,081 114,356 May 09, 2014, 05:35 PM
Hotsuki Keishi Chief Risk Officer May 08, 2014 Sale $30.09 30,336 912,662 117,884 May 09, 2014, 05:35 PM
DAVIES HOWARD J Director May 01, 2014 Sale $31.17 12,000 374,040 65,771 May 02, 2014, 04:42 PM
ROSENTHAL JAMES A Chief Operating Officer Feb 12, 2014 Sale $30.18 33,500 1,010,896 138,643 Feb 13, 2014, 05:07 PM
WIRTH PAUL C Deputy Chief Financial Officer Feb 11, 2014 Sale $30.20 25,000 755,000 192,991 Feb 13, 2014, 05:05 PM
GROSSMAN ERIC F Chief Legal Officer Feb 05, 2014 Option Exercise $29.18 1,572 45,871 0 Feb 07, 2014, 05:03 PM
GROSSMAN ERIC F Chief Legal Officer Feb 05, 2014 Sale $29.22 28,929 845,404 106,252 Feb 07, 2014, 05:03 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 28, 2014 Option Exercise $29.99 8,411 252,204 217,991 Jan 29, 2014, 04:52 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 27, 2014 Option Exercise $30.03 30,474 915,287 210,093 Jan 29, 2014, 04:52 PM
Hotsuki Keishi Chief Risk Officer Jan 28, 2014 Option Exercise $29.99 9,912 297,211 148,034 Jan 29, 2014, 04:50 PM
Hotsuki Keishi Chief Risk Officer Jan 27, 2014 Option Exercise $30.03 20,832 625,689 157,947 Jan 29, 2014, 04:50 PM
GROSSMAN ERIC F Chief Legal Officer Jan 28, 2014 Option Exercise $29.99 21,166 634,663 135,181 Jan 29, 2014, 04:49 PM
ROSENTHAL JAMES A Chief Operating Officer Jan 28, 2014 Option Exercise $29.99 34,622 1,038,141 198,553 Jan 29, 2014, 04:48 PM
ROSENTHAL JAMES A Chief Operating Officer Jan 27, 2014 Option Exercise $30.03 38,883 1,167,851 251,733 Jan 29, 2014, 04:48 PM
Porat Ruth Chief Financial Officer Jan 28, 2014 Option Exercise $29.99 21,593 647,466 858,709 Jan 29, 2014, 04:47 PM
Porat Ruth Chief Financial Officer Jan 27, 2014 Option Exercise $30.03 91,640 2,752,407 841,619 Jan 29, 2014, 04:47 PM
KELLEHER THOMAS COLM President, Inst'l Securities Jan 28, 2014 Option Exercise $29.99 20,133 603,688 411,750 Jan 29, 2014, 04:45 PM
KELLEHER THOMAS COLM President, Inst'l Securities Jan 27, 2014 Option Exercise $30.03 52,453 1,575,426 389,048 Jan 29, 2014, 04:45 PM
KELLEHER THOMAS COLM President, Inst'l Securities Jan 29, 2014 Sale $30.16 8,500 256,361 403,250 Jan 29, 2014, 04:45 PM
FLEMING GREGORY J President-Wealth & Invest Mgt Jan 28, 2014 Option Exercise $29.99 18,871 565,847 437,298 Jan 29, 2014, 04:43 PM
FLEMING GREGORY J President-Wealth & Invest Mgt Jan 27, 2014 Option Exercise $30.03 72,055 2,164,172 419,577 Jan 29, 2014, 04:43 PM
GORMAN JAMES P Chairman and CEO Jan 27, 2014 Option Exercise $30.03 106,957 3,212,453 1,039,404 Jan 29, 2014, 04:41 PM
GORMAN JAMES P Chairman and CEO Jan 28, 2014 Option Exercise $29.99 22,644 678,980 1,057,325 Jan 29, 2014, 04:41 PM
DAVIES HOWARD J Director Nov 15, 2013 Option Exercise $30.36 416 12,631 77,682 Nov 18, 2013, 05:21 PM
Nicolaisen Donald T Director Nov 15, 2013 Sale $30.33 4,704 142,679 72,283 Nov 15, 2013, 05:24 PM
ROSENTHAL JAMES A Chief Operating Officer Jul 31, 2013 Sale $27.32 12,850 351,062 100,471 Aug 02, 2013, 05:10 PM
DAVIES HOWARD J Director May 15, 2013 Option Exercise $24.64 817 20,131 77,905 May 17, 2013, 05:13 PM
SEXTON O GRIFFITH Director May 14, 2013 Option Exercise $24.27 1,923 46,670 730,587 May 16, 2013, 05:08 PM
OLAYAN HUTHAM S Director May 14, 2013 Option Exercise $24.27 1,751 42,496 105,209 May 16, 2013, 05:06 PM
BOWLES ERSKINE B Director May 14, 2013 Option Exercise $24.27 1,957 47,495 104,853 May 16, 2013, 04:54 PM
Hotsuki Keishi Chief Risk Officer Feb 13, 2013 Sale $23.78 23,034 547,641 122,600 Feb 14, 2013, 05:41 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 08, 2013 Option Exercise $23.23 55,823 1,296,489 391,738 Feb 12, 2013, 06:17 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 12, 2013 Option Exercise $23.43 29,853 699,456 104,550 Feb 12, 2013, 06:17 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 12, 2013 Option Exercise $23.43 29,853 699,456 361,885 Feb 12, 2013, 06:17 PM
WIRTH PAUL C Deputy CFO/Controller Feb 08, 2013 Sale $23.10 17,379 401,455 167,707 Feb 08, 2013, 04:47 PM
WIRTH PAUL C Deputy CFO/Controller Feb 07, 2013 Sale $22.82 20,000 456,328 191,501 Feb 08, 2013, 04:47 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 05, 2013 Option Exercise $23.25 6,723 156,310 494,734 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 05, 2013 Option Exercise $23.25 6,723 156,310 27,524 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Jan 30, 2013 Option Exercise $22.68 8,506 192,916 501,457 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Jan 30, 2013 Option Exercise $22.68 8,506 192,916 20,801 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Jan 28, 2013 Option Exercise $22.55 12,295 277,252 509,963 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Jan 28, 2013 Option Exercise $22.55 12,295 277,252 12,295 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 07, 2013 Option Exercise $23.13 28,775 665,566 447,561 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 07, 2013 Option Exercise $23.13 28,775 665,566 74,697 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 06, 2013 Option Exercise $23.34 18,398 429,409 476,336 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 06, 2013 Option Exercise $23.34 18,398 429,409 45,922 Feb 07, 2013, 06:43 PM
WIRTH PAUL C Deputy CFO/Controller Feb 01, 2013 Option Exercise $23.35 27,749 648,078 205,087 Feb 05, 2013, 07:16 PM
ROSENTHAL JAMES A Chief Operating Officer Feb 01, 2013 Option Exercise $23.35 31,071 725,663 314,390 Feb 05, 2013, 07:14 PM
KELLEHER THOMAS COLM President, Inst'l Securities Feb 01, 2013 Option Exercise $23.35 78,048 1,822,811 364,817 Feb 05, 2013, 07:12 PM
KELLEHER THOMAS COLM President, Inst'l Securities Feb 04, 2013 Sale $22.87 58,555 1,338,942 306,262 Feb 05, 2013, 07:12 PM
Hotsuki Keishi Chief Risk Officer Feb 01, 2013 Option Exercise $23.35 13,649 318,772 139,801 Feb 05, 2013, 07:10 PM
GROSSMAN ERIC F Chief Legal Officer Feb 01, 2013 Option Exercise $23.35 8,260 192,912 78,121 Feb 05, 2013, 07:08 PM
GROSSMAN ERIC F Chief Legal Officer Feb 04, 2013 Sale $22.85 13,847 316,397 64,274 Feb 05, 2013, 07:08 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 01, 2013 Option Exercise $23.35 23,599 551,155 522,258 Feb 05, 2013, 07:06 PM
Porat Ruth Chief Financial Officer Feb 01, 2013 Option Exercise $23.35 56,474 1,318,950 843,735 Feb 05, 2013, 07:03 PM
GORMAN JAMES P Chairman and CEO Feb 01, 2013 Option Exercise $23.35 81,630 1,906,469 964,814 Feb 05, 2013, 07:01 PM
WIRTH PAUL C Deputy CFO/Controller Jan 22, 2013 Option Exercise $22.98 675 15,511 0 Jan 24, 2013, 04:08 PM
WIRTH PAUL C Deputy CFO/Controller Jan 22, 2013 Sale $22.05 38,771 854,901 140,766 Jan 24, 2013, 04:08 PM
Hotsuki Keishi Chief Risk Officer Jan 22, 2013 Sale $22.05 38,191 842,112 153,450 Jan 24, 2013, 04:07 PM
KELLEHER THOMAS COLM President, Inst'l Securities Jan 22, 2013 Sale $22.23 53,486 1,188,972 442,865 Jan 24, 2013, 04:05 PM
SEXTON O GRIFFITH Director Nov 15, 2012 Option Exercise $16.24 2,873 46,665 718,186 Nov 16, 2012, 05:18 PM
OLAYAN HUTHAM S Director Nov 15, 2012 Option Exercise $16.24 2,617 42,507 92,978 Nov 16, 2012, 05:16 PM
BOWLES ERSKINE B Director Nov 15, 2012 Option Exercise $16.24 2,924 47,494 92,400 Nov 16, 2012, 05:13 PM
DAVIES HOWARD J Director Nov 01, 2012 Option Exercise $17.48 411 7,183 68,033 Nov 02, 2012, 05:29 PM
DAVIES HOWARD J Director May 18, 2012 Option Exercise $13.45 934 12,565 68,256 May 21, 2012, 05:38 PM
SEXTON O GRIFFITH Director May 15, 2012 Option Exercise $14.29 2,975 42,501 714,785 May 17, 2012, 05:22 PM
OLAYAN HUTHAM S Director May 15, 2012 Option Exercise $14.29 2,975 42,501 89,828 May 17, 2012, 05:19 PM
BOWLES ERSKINE B Director May 15, 2012 Option Exercise $14.29 3,325 47,501 88,896 May 17, 2012, 05:11 PM
ROSENTHAL JAMES A Chief Operating Officer Mar 05, 2012 Option Exercise $18.48 18,156 335,432 343,071 Mar 06, 2012, 06:44 PM
FLEMING GREGORY J President-Asset Mgt/GWM Feb 08, 2012 Option Exercise $20.27 46,181 936,089 541,981 Feb 09, 2012, 05:35 PM
WIRTH PAUL C Deputy CFO/Controller Jan 20, 2012 Option Exercise $18.12 23,502 425,856 178,422 Jan 24, 2012, 06:39 PM
Taubman Paul J Co-President-Inst'l Securities Jan 20, 2012 Option Exercise $18.12 37,816 685,226 1,269,224 Jan 24, 2012, 06:37 PM
ROSENTHAL JAMES A Chief Operating Officer Jan 20, 2012 Option Exercise $18.12 21,018 380,846 360,605 Jan 24, 2012, 06:35 PM
GROSSMAN ERIC F Chief Legal Officer Jan 20, 2012 Option Exercise $18.12 7,355 133,273 97,929 Jan 24, 2012, 06:34 PM
GROSSMAN ERIC F Chief Legal Officer Jan 23, 2012 Sale $18.22 12,482 227,366 85,447 Jan 24, 2012, 06:34 PM
Porat Ruth Chief Financial Officer Jan 20, 2012 Option Exercise $18.12 33,987 615,844 796,552 Jan 24, 2012, 06:32 PM
Hotsuki Keishi Chief Risk Officer Jan 20, 2012 Option Exercise $18.12 11,259 204,013 189,938 Jan 24, 2012, 06:31 PM
KELLEHER THOMAS COLM Co-President-Inst'l Securities Jan 20, 2012 Option Exercise $18.12 27,015 489,512 492,820 Jan 24, 2012, 06:30 PM
GORMAN JAMES P Chairman of the Board and CEO Jan 20, 2012 Option Exercise $18.12 42,194 764,555 1,078,640 Jan 24, 2012, 06:28 PM
Taubman Paul J Co-President-Inst'l Securities Jan 03, 2012 Option Exercise $16.00 20,089 321,424 1,118,473 Jan 04, 2012, 05:04 PM
Porat Ruth Chief Financial Officer Jan 03, 2012 Option Exercise $16.00 12,054 192,864 653,115 Jan 04, 2012, 04:58 PM
SEXTON O GRIFFITH Director Nov 18, 2011 Option Exercise $14.20 2,992 42,497 693,943 Nov 21, 2011, 05:21 PM
OLAYAN HUTHAM S Director Nov 18, 2011 Option Exercise $14.20 2,992 42,497 68,979 Nov 21, 2011, 05:18 PM
BOWLES ERSKINE B Director Nov 18, 2011 Option Exercise $14.20 3,344 47,496 67,657 Nov 21, 2011, 05:16 PM
DAVIES HOWARD J Director Nov 01, 2011 Option Exercise $16.24 406 6,592 51,294 Nov 03, 2011, 05:07 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jun 30, 2011 Option Exercise $20.34 385,464,097 7,840,339,792 432,017,152 Aug 23, 2011, 12:09 PM
OLAYAN HUTHAM S Director Aug 05, 2011 Buy $20.00 5,000 100,000 65,642 Aug 05, 2011, 11:30 AM
Taubman Paul J Co-President-Inst'l Securities Aug 04, 2011 Buy $20.38 50,000 1,019,235 1,138,562 Aug 05, 2011, 08:41 AM
Porat Ruth Chief Financial Officer Aug 04, 2011 Buy $20.50 25,000 512,500 665,169 Aug 05, 2011, 08:39 AM
GORMAN JAMES P President and CEO Aug 04, 2011 Buy $20.62 100,000 2,062,070 854,393 Aug 04, 2011, 10:30 AM
OWENS JAMES W Director Aug 02, 2011 Buy $22.04 5,000 110,200 18,048 Aug 02, 2011, 02:27 PM
ROSENTHAL JAMES A Chief Operating Officer Jul 22, 2011 Sale $23.72 8,000 189,785 226,723 Jul 22, 2011, 04:41 PM
ROSENTHAL JAMES A Chief Operating Officer May 20, 2011 Option Exercise $24.13 35,304 851,709 229,175 May 20, 2011, 06:48 PM
Hotsuki Keishi Chief Risk Officer May 20, 2011 Option Exercise $24.13 12,302 296,786 104,366 May 20, 2011, 06:46 PM
SEXTON O GRIFFITH Director May 18, 2011 Option Exercise $24.39 1,845 45,006 690,612 May 20, 2011, 06:39 PM
OLAYAN HUTHAM S Director May 18, 2011 Option Exercise $24.39 1,742 42,494 60,642 May 20, 2011, 06:32 PM
DAVIES HOWARD J Director May 18, 2011 Option Exercise $24.39 749 18,271 51,577 May 20, 2011, 06:22 PM
BOWLES ERSKINE B Director May 18, 2011 Option Exercise $24.39 1,947 47,494 63,930 May 20, 2011, 06:15 PM
ROSENTHAL JAMES A Chief Operating Officer Feb 15, 2011 Option Exercise $30.32 1,311 39,750 0 Feb 16, 2011, 04:51 PM
Porat Ruth Chief Financial Officer Feb 14, 2011 Option Exercise $29.98 551 16,519 30,351 Feb 16, 2011, 04:49 PM
WIRTH PAUL C Finance Director/Controller Feb 09, 2011 Option Exercise $30.08 997 29,990 125 Feb 11, 2011, 05:08 PM
FLEMING GREGORY J President-Asset Mgt/GWM Feb 08, 2011 Option Exercise $30.58 50,879 1,555,625 399,790 Feb 10, 2011, 05:37 PM
WIRTH PAUL C Finance Director/Controller Feb 07, 2011 Sale $30.42 17,717 538,934 152,673 Feb 09, 2011, 06:02 PM
KELLEHER THOMAS COLM Co-President Inst'l Securities Feb 07, 2011 Sale $30.08 50,000 1,504,076 401,744 Feb 09, 2011, 05:59 PM
WIRTH PAUL C Finance Director/Controller Jan 21, 2011 Option Exercise $29.78 11,331 337,437 157,873 Jan 25, 2011, 05:05 PM
Porat Ruth Chief Financial Officer Jan 21, 2011 Option Exercise $29.78 40,371 1,202,248 640,160 Jan 25, 2011, 05:04 PM
KELLEHER THOMAS COLM Co-President-Inst'l Securities Jan 21, 2011 Option Exercise $29.78 22,210 661,414 428,671 Jan 25, 2011, 05:01 PM
Porat Ruth Chief Financial Officer Jan 03, 2011 Option Exercise $28.02 12,100 339,102 556,744 Jan 04, 2011, 06:15 PM
SEXTON O GRIFFITH Director Nov 18, 2010 Option Exercise $25.80 1,744 45,004 669,728 Nov 19, 2010, 05:16 PM
SEXTON O GRIFFITH Director Nov 18, 2010 Option Exercise $25.80 1,744 45,004 669,728 Nov 19, 2010, 05:16 PM
OLAYAN HUTHAM S Director Nov 18, 2010 Option Exercise $25.80 1,647 42,501 48,482 Nov 19, 2010, 05:15 PM
OLAYAN HUTHAM S Director Nov 18, 2010 Option Exercise $25.80 1,647 42,501 48,482 Nov 19, 2010, 05:15 PM
BOWLES ERSKINE B Director Nov 18, 2010 Option Exercise $25.80 1,841 47,507 51,543 Nov 19, 2010, 05:14 PM
BOWLES ERSKINE B Director Nov 18, 2010 Option Exercise $25.80 1,841 47,507 51,543 Nov 19, 2010, 05:14 PM
DAVIES HOWARD J Director Nov 01, 2010 Option Exercise $24.79 403 9,990 41,859 Nov 03, 2010, 05:27 PM
DAVIES HOWARD J Director Nov 01, 2010 Option Exercise $24.79 403 9,990 41,859 Nov 03, 2010, 05:27 PM
MACK JOHN J Chairman of the Board Oct 21, 2010 Option Exercise $24.85 28,900 718,165 2,249,387 Oct 22, 2010, 05:32 PM
MACK JOHN J Chairman of the Board Oct 21, 2010 Option Exercise $24.85 28,900 718,165 2,249,387 Oct 22, 2010, 05:32 PM
NIDES THOMAS R Chief Operating Officer Oct 07, 2010 Option Exercise $25.34 28,275 716,630 207,612 Oct 08, 2010, 04:56 PM
MACK JOHN J Chairman of the Board Oct 07, 2010 Option Exercise $25.34 106,216 2,692,044 2,112,987 Oct 08, 2010, 04:52 PM
MACK JOHN J Chairman of the Board Oct 07, 2010 Option Exercise $25.34 106,216 2,692,044 2,112,987 Oct 08, 2010, 04:52 PM
CHAMMAH WALID A Chairman/CEO of MS Int'l Oct 07, 2010 Option Exercise $25.34 82,720 2,096,538 639,269 Oct 08, 2010, 04:50 PM
NIDES THOMAS R Chief Operating Officer Sep 01, 2010 Option Exercise $25.12 10,174 255,571 235,887 Sep 02, 2010, 05:44 PM
CHINA INVESTMENT CORP 10% Owner Aug 09, 2010 Sale $27.42 1,600,000 43,872,000 150,782,379 Aug 11, 2010, 04:07 PM
CHINA INVESTMENT CORP 10% Owner Aug 03, 2010 Sale $27.52 1,310,000 36,051,201 152,382,379 Aug 05, 2010, 04:05 PM
CHINA INVESTMENT CORP 10% Owner Aug 02, 2010 Sale $27.55 2,000,000 55,099,998 153,692,379 Aug 04, 2010, 04:06 PM
CHINA INVESTMENT CORP 10% Owner Jul 30, 2010 Sale $27.10 3,340,000 90,514,001 155,692,379 Aug 03, 2010, 04:07 PM
CHINA INVESTMENT CORP 10% Owner Jul 29, 2010 Sale $27.09 2,600,000 70,434,000 159,032,379 Aug 02, 2010, 04:10 PM
CHINA INVESTMENT CORP 10% Owner Jul 26, 2010 Sale $27.04 2,750,000 74,360,003 166,507,379 Jul 27, 2010, 04:02 PM
CHINA INVESTMENT CORP 10% Owner Jul 23, 2010 Sale $27.05 1,875,000 50,718,749 166,507,379 Jul 27, 2010, 04:02 PM
CHINA INVESTMENT CORP 10% Owner Jul 21, 2010 Sale $27.17 4,525,000 122,944,250 171,132,379 Jul 23, 2010, 04:02 PM
CHINA INVESTMENT CORP 10% Owner Jul 22, 2010 Sale $27.13 575,000 15,599,750 171,132,379 Jul 23, 2010, 04:02 PM
Load More Insider Transactions
Buy Sale Option Exercise
Owner Relationship Date Value($)
AKRAM RAJA Deputy Chief Financial Officer 05/13/2022 11,047
LUCZO STEPHEN J Director 05/12/2022 1,982,425
AKRAM RAJA Deputy Chief Financial Officer 05/01/2022 1,272,113
CORLEY ELIZABETH Director 04/21/2022 39,591
CORLEY ELIZABETH Director 04/21/2022 209,254
SIMKOWITZ DANIEL A Head of Investment Management 02/24/2022 5,198,012
SAPERSTEIN ANDREW M Co-President/Head of WM 02/24/2022 4,301,990
PRUZAN JONATHAN Chief Operating Officer 02/24/2022 5,198,012
PICK EDWARD N Co-President/Head of IS 02/24/2022 11,426,384
Hotsuki Keishi Chief Risk Officer 02/24/2022 2,812,861
GROSSMAN ERIC F Chief Legal Officer 02/24/2022 3,557,520
GORMAN JAMES P Chairman and CEO 02/24/2022 24,645,000
GORMAN JAMES P Chairman and CEO 02/09/2022 2,672,040
SAPERSTEIN ANDREW M Co-President/Head of WM 02/08/2022 1,813,998
Hotsuki Keishi Chief Risk Officer 02/07/2022 2,572,500
SIMKOWITZ DANIEL A Head of Investment Management 01/31/2022 1,888,525
PRUZAN JONATHAN Chief Operating Officer 01/26/2022 1,860,705
YESHAYA SHARON Chief Financial Officer 01/20/2022 264,215
SIMKOWITZ DANIEL A Head of Investment Management 01/20/2022 1,665,128
SAPERSTEIN ANDREW M Co-President/Head of WM 01/20/2022 1,461,031
SAPERSTEIN ANDREW M Co-President/Head of WM 01/20/2022 1,497,593
ROONEY ROBERT P Head of Tech/Ops/Resilience 01/20/2022 1,771,675
PRUZAN JONATHAN Chief Operating Officer 01/20/2022 1,665,128
PICK EDWARD N Co-President/Head of IS 01/20/2022 1,585,768
Hotsuki Keishi Chief Risk Officer 01/20/2022 1,081,653
GROSSMAN ERIC F Chief Legal Officer 01/20/2022 1,373,534
GROSSMAN ERIC F Chief Legal Officer 01/20/2022 3,375,130
CRAWLEY MANDELL Chief Human Resources Officer 01/20/2022 387,036
CRAWLEY MANDELL Chief Human Resources Officer 01/21/2022 736,812
GORMAN JAMES P Chairman and CEO 01/20/2022 7,192,961
TRAQUINA PERRY M Director 12/01/2021 67,454
LUCZO STEPHEN J Director 12/01/2021 54,952
GLOCER THOMAS H Director 12/01/2021 79,957
CORLEY ELIZABETH Director 12/01/2021 47,489
DARLING ALISTAIR Director 11/09/2021 99,460
YESHAYA SHARON Chief Financial Officer 07/21/2021 108,107
YESHAYA SHARON Chief Financial Officer 07/21/2021 239,104
SAPERSTEIN ANDREW M Co-President/Head of WM 07/16/2021 1,065,901
LUCZO STEPHEN J Director 04/17/2020 1,119,229
CORLEY ELIZABETH Director 06/01/2021 47,541
OLAYAN HUTHAM S Director 05/20/2021 47,479
SIMKOWITZ DANIEL A Head of Investment Management 04/19/2021 5,856,984
Hotsuki Keishi Chief Risk Officer 02/26/2021 1,520,287
GROSSMAN ERIC F Chief Legal Officer 02/26/2021 1,925,770
SIMKOWITZ DANIEL A Head of Investment Management 02/26/2021 2,698,776
SAPERSTEIN ANDREW M Head of Wealth Management 02/26/2021 2,027,102
PICK EDWARD N Head of Inst'l Securities 02/26/2021 6,058,561
PRUZAN JONATHAN Chief Financial Officer 02/26/2021 2,368,272
GORMAN JAMES P Chairman and CEO 02/26/2021 14,044,931
Hotsuki Keishi Chief Risk Officer 02/16/2021 1,734,383
GORMAN JAMES P Chairman and CEO 02/11/2021 2,051,259
ROONEY ROBERT P Head of Tech/Ops/Resilience 02/09/2021 1,128,012
BRODSKY JEFFREY S Chief Human Resources Officer 01/21/2021 449,639
BRODSKY JEFFREY S Chief Human Resources Officer 01/21/2021 1,379,545
Hotsuki Keishi Chief Risk Officer 01/21/2021 682,541
ROONEY ROBERT P Head of Tech/Ops/Resilience 01/21/2021 726,172
GROSSMAN ERIC F Chief Legal Officer 01/21/2021 948,672
GROSSMAN ERIC F Chief Legal Officer 01/21/2021 2,167,567
SIMKOWITZ DANIEL A Head of Investment Management 01/21/2021 1,230,370
SAPERSTEIN ANDREW M Head of Wealth Management 01/21/2021 1,015,205
SAPERSTEIN ANDREW M Head of Wealth Management 01/22/2021 1,438,812
SAPERSTEIN ANDREW M Head of Wealth Management 01/21/2021 756,249
PICK EDWARD N Head of Inst'l Securities 01/21/2021 1,774,905
PICK EDWARD N Head of Inst'l Securities 01/21/2021 7,510,200
PRUZAN JONATHAN Chief Financial Officer 01/21/2021 1,157,775
PRUZAN JONATHAN Chief Financial Officer 01/22/2021 1,407,060
GORMAN JAMES P Chairman and CEO 01/21/2021 3,912,410
GORMAN JAMES P Chairman and CEO 01/22/2021 12,796,123
TRAQUINA PERRY M Director 12/01/2020 67,484
OLAYAN HUTHAM S Director 12/01/2020 47,498
GLOCER THOMAS H Director 12/01/2020 80,007
CORLEY ELIZABETH Director 12/01/2020 47,498
OLAYAN HUTHAM S Director 11/12/2020 1,385,000
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 06/24/2020 94
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 10/19/2020 986,878
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 08/02/2019 7,933
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 05/14/2019 63,362
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 03/30/2020 70
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 02/06/2020 82,150
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/19/2017 101,304
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 04/03/2018 39,424
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/13/2018 31,789
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 10/13/2017 8,490
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 05/30/2018 99,969
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 05/21/2018 15,161
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 01/16/2018 9,650
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 12/01/2017 8,661
ROONEY ROBERT P Head of Tech/Ops/Resilience 08/21/2020 940
ROONEY ROBERT P Head of Tech/Ops/Resilience 08/01/2020 179,878
ROONEY ROBERT P Head of Tech/Ops/Resilience 07/21/2020 957,843
Hotsuki Keishi Chief Risk Officer 07/20/2020 988,000
SAPERSTEIN ANDREW M Head of Wealth Management 07/17/2020 1,516,195
GROSSMAN ERIC F Chief Legal Officer 07/17/2020 2,875,531
GORMAN JAMES P Chairman and CEO 07/17/2020 7,858,067
TRAQUINA PERRY M Director 06/01/2020 67,516
SCHAPIRO MARY L Director 06/01/2020 47,516
OLAYAN HUTHAM S Director 06/01/2020 52,482
GLOCER THOMAS H Director 06/01/2020 79,999
DARLING ALISTAIR Director 06/01/2020 14,094
CORLEY ELIZABETH Director 06/01/2020 47,516
BRODSKY JEFFREY S Chief Human Resources Officer 04/28/2020 737,319
LUCZO STEPHEN J Director 04/17/2020 734,871
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 03/16/2020 201,863,876
LUCZO STEPHEN J Director 02/28/2020 2,248,735
SIMKOWITZ DANIEL A Head of Investment Management 02/28/2020 1,232,881
SAPERSTEIN ANDREW M Head of Wealth Management 02/28/2020 835,862
PRUZAN JONATHAN Chief Financial Officer 02/28/2020 1,109,820
PICK EDWARD N Head of Inst'l Securities 02/28/2020 2,903,833
Hotsuki Keishi Chief Risk Officer 02/28/2020 779,463
GROSSMAN ERIC F Chief Legal Officer 02/28/2020 989,257
BRODSKY JEFFREY S Chief Human Resources Officer 02/28/2020 599,548
GORMAN JAMES P Chairman and CEO 02/28/2020 12,427,355
LUCZO STEPHEN J Director 02/21/2020 2,649,955
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 01/29/2020 50,012,887
ROONEY ROBERT P Head of Tech/Ops/Resilience 01/17/2020 135,851
WIRTH PAUL C Deputy Chief Financial Officer 01/17/2020 1,116,891
BRODSKY JEFFREY S Chief Human Resources Officer 01/17/2020 347,953
Hotsuki Keishi Chief Risk Officer 01/17/2020 546,847
GROSSMAN ERIC F Chief Legal Officer 01/17/2020 778,816
SIMKOWITZ DANIEL A Head of Investment Management 01/17/2020 1,044,366
PRUZAN JONATHAN Chief Financial Officer 01/17/2020 899,654
GORMAN JAMES P Chairman and CEO 01/17/2020 3,467,448
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 12/20/2019 230,587,634
WIRTH PAUL C Deputy Chief Financial Officer 11/27/2019 1,240,500
Hotsuki Keishi Chief Risk Officer 11/27/2019 1,294,249
TRAQUINA PERRY M Director 12/01/2019 67,513
SCHAPIRO MARY L Director 12/01/2019 47,487
OLAYAN HUTHAM S Director 12/01/2019 52,494
GLOCER THOMAS H Director 12/01/2019 80,005
CORLEY ELIZABETH Director 12/01/2019 47,487
ROONEY ROBERT P Head of Tech/Ops/Resilience 11/21/2019 2,511,003
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 10/29/2019 1,777,283
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 10/29/2019 49,899,733
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/20/2019 326,921,121
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 08/21/2014 214,200
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 10/22/2014 150,750
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 10/09/2014 141,400
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/05/2014 141,400
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 11/18/2014 39,351
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 04/23/2014 126,625
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 10/17/2014 70,000
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/18/2014 70,700
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/26/2014 280,000
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/04/2014 214,200
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 11/07/2014 140,000
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 10/10/2014 70,700
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/25/2014 249,750
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 10/09/2014 147,000
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/05/2014 147,000
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/24/2014 20,060
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 05/06/2014 127,000
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 10/17/2014 72,800
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/18/2014 73,500
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/26/2014 291,200
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/04/2014 222,600
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 11/07/2014 145,600
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 10/10/2014 209,580
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/16/2014 100,400
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/25/2014 65,065
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 08/21/2014 222,600
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 10/24/2014 70,350
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/15/2014 49,245
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 07/29/2019 70,136,968
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 06/21/2019 269,839,491
TRAQUINA PERRY M Director 06/01/2019 67,515
SCHAPIRO MARY L Director 06/01/2019 47,506
OLAYAN HUTHAM S Director 06/01/2019 52,498
GLOCER THOMAS H Director 06/01/2019 79,995
CORLEY ELIZABETH Director 06/01/2019 47,506
DARLING ALISTAIR Director 05/24/2019 21,952
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 04/26/2019 42,513,472
SIMKOWITZ DANIEL A Head of Investment Management 04/18/2019 332,979
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 03/22/2019 262,710,195
WIRTH PAUL C Deputy Chief Financial Officer 02/26/2019 1,060,073
BRODSKY JEFFREY S Chief Human Resources Officer 02/26/2019 825,279
Hotsuki Keishi Chief Risk Officer 02/26/2019 1,085,886
GROSSMAN ERIC F Chief Legal Officer 02/26/2019 1,326,875
SIMKOWITZ DANIEL A Head of Investment Management 02/26/2019 1,850,327
PRUZAN JONATHAN Chief Financial Officer 02/26/2019 1,554,280
KELLEHER THOMAS COLM President 02/26/2019 3,081,473
GORMAN JAMES P Chairman and CEO 02/26/2019 5,529,759
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 01/29/2019 49,642,729
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 01/18/2019 32,200,000
BRODSKY JEFFREY S Chief Human Resources Officer 01/18/2019 675,152
WIRTH PAUL C Deputy Chief Financial Officer 01/18/2019 1,456,312
BRODSKY JEFFREY S Chief Human Resources Officer 01/18/2019 479,781
Hotsuki Keishi Chief Risk Officer 01/18/2019 744,615
GROSSMAN ERIC F Chief Legal Officer 01/18/2019 918,435
SIMKOWITZ DANIEL A Head of Investment Management 01/18/2019 1,419,184
PRUZAN JONATHAN Chief Financial Officer 01/18/2019 1,125,344
KELLEHER THOMAS COLM President 01/18/2019 522,821
GORMAN JAMES P Chairman and CEO 01/18/2019 4,092,662
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 12/20/2018 234,065,269
TRAQUINA PERRY M Director 12/01/2018 57,511
SCHAPIRO MARY L Director 12/01/2018 28,335
OLAYAN HUTHAM S Director 12/01/2018 47,505
GLOCER THOMAS H Director 12/01/2018 72,519
CORLEY ELIZABETH Director 12/01/2018 42,502
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 10/30/2018 78,287,584
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 09/21/2018 247,446,260
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 07/27/2018 65,253,718
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 06/22/2018 284,341,452
TRAQUINA PERRY M Director 05/24/2018 57,501
OWENS JAMES W Director 05/24/2018 47,506
OLAYAN HUTHAM S Director 05/24/2018 47,506
GLOCER THOMAS H Director 05/24/2018 72,495
CORLEY ELIZABETH Director 05/24/2018 27,515
DARLING ALISTAIR Director 05/22/2018 26,695
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner 04/26/2018 46,540,898
BRODSKY JEFFREY S Chief Human Resources Officer 02/27/2018 995,452
Hotsuki Keishi Chief Risk Officer 02/27/2018 1,244,243
GROSSMAN ERIC F Chief Legal Officer 02/27/2018 1,493,149
KELLEHER THOMAS COLM President 02/27/2018 4,124,103
GORMAN JAMES P Chairman and CEO 02/27/2018 5,860,172
WIRTH PAUL C Deputy Chief Financial Officer 02/26/2018 1,138,110
PRUZAN JONATHAN Chief Financial Officer 02/16/2018 2,889,361
BRODSKY JEFFREY S Chief Human Resources Officer 02/14/2018 607,600
GROSSMAN ERIC F Chief Legal Officer 02/14/2018 953,296
GORMAN JAMES P Chairman and CEO 02/15/2018 5,533,810
SIMKOWITZ DANIEL A Head of Investment Management 02/14/2018 1,730,935
SIMKOWITZ DANIEL A Head of Investment Management 02/13/2018 2,930,679
BOWLES ERSKINE B Director 02/01/2018 23,776
WIRTH PAUL C Deputy Chief Financial Officer 01/19/2018 2,004,042
BRODSKY JEFFREY S Chief Human Resources Officer 01/19/2018 825,427
Hotsuki Keishi Chief Risk Officer 01/19/2018 1,249,755
GROSSMAN ERIC F Chief Legal Officer 01/19/2018 1,672,185
SIMKOWITZ DANIEL A Head of Investment Management 01/19/2018 3,900,480
PRUZAN JONATHAN Chief Financial Officer 01/19/2018 3,027,812
KELLEHER THOMAS COLM President 01/19/2018 1,440,225
GORMAN JAMES P Chairman and CEO 01/19/2018 3,895,957
Hotsuki Keishi Chief Risk Officer 11/28/2017 1,250,000
TRAQUINA PERRY M Director 11/22/2017 57,478
OWENS JAMES W Director 11/22/2017 50,829
OLAYAN HUTHAM S Director 11/22/2017 47,480
GLOCER THOMAS H Director 11/22/2017 59,152
DARLING ALISTAIR Director 11/24/2017 189,785
BOWLES ERSKINE B Director 11/22/2017 64,176
KELLEHER THOMAS COLM President 10/23/2017 2,023,516
GROSSMAN ERIC F Chief Legal Officer 10/18/2017 1,299,638
BRODSKY JEFFREY S Chief Human Resources Officer 10/18/2017 821,024
GORMAN JAMES P Chairman and CEO 08/01/2017 6,373,104
GORMAN JAMES P Chairman and CEO 08/01/2017 10,037,011
PRUZAN JONATHAN Chief Financial Officer 07/20/2017 1,202,834
TRAQUINA PERRY M Director 05/22/2017 49,990
OLAYAN HUTHAM S Director 05/22/2017 47,486
GLOCER THOMAS H Director 05/22/2017 52,494
BOWLES ERSKINE B Director 05/22/2017 72,481
DARLING ALISTAIR Director 05/17/2017 33,335
GORMAN JAMES P Chairman and CEO 05/10/2017 6,373,074
GORMAN JAMES P Chairman and CEO 05/10/2017 9,117,530
BRODSKY JEFFREY S Chief Human Resources Officer 03/01/2017 759,446
Hotsuki Keishi Chief Risk Officer 03/01/2017 940,254
GROSSMAN ERIC F Chief Legal Officer 03/01/2017 1,157,278
KELLEHER THOMAS COLM President 03/01/2017 3,341,171
GORMAN JAMES P Chairman and CEO 03/01/2017 4,697,662
DARLING ALISTAIR Director 02/15/2017 46
WIRTH PAUL C Deputy Chief Financial Officer 02/14/2017 574,563
KELLEHER THOMAS COLM President 02/08/2017 5,462,630
KELLEHER THOMAS COLM President 02/08/2017 7,976,587
DARLING ALISTAIR Director 02/01/2017 12,495
WIRTH PAUL C Deputy Chief Financial Officer 01/26/2017 442,541
WIRTH PAUL C Deputy Chief Financial Officer 01/18/2017 637,730
BRODSKY JEFFREY S Chief Human Resources Officer 01/18/2017 389,592
BRODSKY JEFFREY S Chief Human Resources Officer 01/19/2017 498,058
Hotsuki Keishi Chief Risk Officer 01/18/2017 562,028
GROSSMAN ERIC F Chief Legal Officer 01/18/2017 766,751
GROSSMAN ERIC F Chief Legal Officer 01/19/2017 739,992
SIMKOWITZ DANIEL A Head of Investment Management 01/18/2017 1,301,887
PRUZAN JONATHAN Chief Financial Officer 01/18/2017 1,061,716
KELLEHER THOMAS COLM President 01/18/2017 1,954,411
GORMAN JAMES P Chairman and CEO 01/18/2017 1,784,125
GORMAN JAMES P Chairman and CEO 01/19/2017 6,545,324
GORMAN JAMES P Chairman and CEO 01/19/2017 12,047,214
GORMAN JAMES P Chairman and CEO 11/30/2016 4,138,100
SIMKOWITZ DANIEL A Head of Investment Management 12/01/2016 3,641,744
SIMKOWITZ DANIEL A Head of Investment Management 12/01/2016 5,102,919
ROSENTHAL JAMES A Chief Operating Officer 11/18/2016 3,641,744
ROSENTHAL JAMES A Chief Operating Officer 11/18/2016 4,485,430
TRAQUINA PERRY M Director 11/17/2016 42,490
OLAYAN HUTHAM S Director 11/17/2016 47,493
GLOCER THOMAS H Director 11/17/2016 52,497
BOWLES ERSKINE B Director 11/17/2016 67,507
WIRTH PAUL C Deputy Chief Financial Officer 11/14/2016 1,820,857
WIRTH PAUL C Deputy Chief Financial Officer 11/14/2016 2,366,380
BRODSKY JEFFREY S Chief Human Resources Officer 11/14/2016 1,820,857
BRODSKY JEFFREY S Chief Human Resources Officer 11/14/2016 2,373,503
GORMAN JAMES P Chairman and CEO 11/11/2016 4,596,000
GORMAN JAMES P Chairman and CEO 11/11/2016 7,540,460
KELLEHER THOMAS COLM President 11/10/2016 5,117,945
KELLEHER THOMAS COLM President 11/10/2016 8,366,420
GROSSMAN ERIC F Chief Legal Officer 11/11/2016 1,820,857
GROSSMAN ERIC F Chief Legal Officer 11/11/2016 2,296,063
SIMKOWITZ DANIEL A Head of Investment Management 11/10/2016 2,257,961
PRUZAN JONATHAN Chief Financial Officer 11/08/2016 1,512,667
ROSENTHAL JAMES A Chief Operating Officer 10/27/2016 1,700,727
ROSENTHAL JAMES A Chief Operating Officer 10/27/2016 2,253,978
GROSSMAN ERIC F Chief Legal Officer 10/21/2016 5,689,158
GROSSMAN ERIC F Chief Legal Officer 10/21/2016 7,322,349
ROSENTHAL JAMES A Chief Operating Officer 10/20/2016 4,596,000
ROSENTHAL JAMES A Chief Operating Officer 10/20/2016 6,207,875
KELLEHER THOMAS COLM President 10/20/2016 5,117,922
KELLEHER THOMAS COLM President 10/20/2016 7,328,026
WIRTH PAUL C Deputy Chief Financial Officer 08/30/2016 600,051
Hotsuki Keishi Chief Risk Officer 08/17/2016 5,305,392
Hotsuki Keishi Chief Risk Officer 08/17/2016 7,458,982
WIRTH PAUL C Deputy Chief Financial Officer 08/16/2016 604,000
Nicolaisen Donald T Director 08/02/2016 92,062
ROSENTHAL JAMES A Chief Operating Officer 07/25/2016 2,298,000
ROSENTHAL JAMES A Chief Operating Officer 07/25/2016 2,657,086
BRODSKY JEFFREY S Chief Human Resources Officer 07/21/2016 574,584
KELLEHER THOMAS COLM President 07/21/2016 587,429
GROSSMAN ERIC F Chief Legal Officer 05/25/2016 703,871
TRAQUINA PERRY M Director 05/17/2016 42,491
OLAYAN HUTHAM S Director 05/17/2016 47,504
Miscik Judith A Director 05/17/2016 19,002
GLOCER THOMAS H Director 05/17/2016 52,491
BOWLES ERSKINE B Director 05/17/2016 62,491
ROSENTHAL JAMES A Chief Operating Officer 02/26/2016 1,256,350
BRODSKY JEFFREY S Chief Human Resources Officer 02/25/2016 576,983
Hotsuki Keishi Chief Risk Officer 02/25/2016 721,234
GROSSMAN ERIC F Chief Legal Officer 02/25/2016 865,486
ROSENTHAL JAMES A Chief Operating Officer 02/25/2016 2,146,940
KELLEHER THOMAS COLM President 02/25/2016 1,972,055
GORMAN JAMES P Chairman and CEO 02/25/2016 2,927,663
WIRTH PAUL C Deputy Chief Financial Officer 01/20/2016 710,149
BRODSKY JEFFREY S Chief Human Resources Officer 01/20/2016 402,566
Hotsuki Keishi Chief Risk Officer 01/20/2016 155,564
GROSSMAN ERIC F Chief Legal Officer 01/20/2016 200,233
ROSENTHAL JAMES A Chief Operating Officer 01/20/2016 247,737
PRUZAN JONATHAN Chief Financial Officer 01/20/2016 1,168,465
KELLEHER THOMAS COLM President 01/20/2016 832,915
GORMAN JAMES P Chairman and CEO 01/20/2016 448,179
TRAQUINA PERRY M Director 11/19/2015 42,513
OLAYAN HUTHAM S Director 11/19/2015 47,506
Miscik Judith A Director 11/19/2015 19,016
GLOCER THOMAS H Director 11/19/2015 52,500
BOWLES ERSKINE B Director 11/19/2015 59,990
ROSENTHAL JAMES A Chief Operating Officer 07/31/2015 471,000
KELLEHER THOMAS COLM President, Inst'l Securities 07/21/2015 622,822
Nicolaisen Donald T Director 05/26/2015 157,127
OLAYAN HUTHAM S Director 05/19/2015 42,503
Miscik Judith A Director 05/19/2015 15,997
GLOCER THOMAS H Director 05/19/2015 50,849
DAVIES HOWARD J Director 05/19/2015 185,159
BOWLES ERSKINE B Director 05/19/2015 57,495
DAVIES HOWARD J Director 05/15/2015 9,924
DAVIES HOWARD J Director 05/13/2015 32,434
WIRTH PAUL C Deputy Chief Financial Officer 05/11/2015 1,513,960
KELLEHER THOMAS COLM President, Inst'l Securities 04/29/2015 1,205,628
ROSENTHAL JAMES A Chief Operating Officer 04/21/2015 1,856,113
GROSSMAN ERIC F Chief Legal Officer 04/21/2015 1,279,314
WIRTH PAUL C Deputy Chief Financial Officer 03/02/2015 421,177
Hotsuki Keishi Chief Risk Officer 03/02/2015 945,930
GROSSMAN ERIC F Chief Legal Officer 03/02/2015 367,205
ROSENTHAL JAMES A Chief Operating Officer 03/02/2015 1,694,943
Porat Ruth Chief Financial Officer 03/02/2015 1,870,278
KELLEHER THOMAS COLM President, Inst'l Securities 03/02/2015 1,666,132
FLEMING GREGORY J President-Wealth & Invest Mgt 03/02/2015 1,835,884
GORMAN JAMES P Chairman and CEO 03/02/2015 2,267,726
WIRTH PAUL C Deputy Chief Financial Officer 01/21/2015 1,123,780
WIRTH PAUL C Deputy Chief Financial Officer 12/04/2014 52,195
WIRTH PAUL C Deputy Chief Financial Officer 01/23/2015 762,189
Hotsuki Keishi Chief Risk Officer 01/21/2015 1,032,006
GROSSMAN ERIC F Chief Legal Officer 01/21/2015 714,460
ROSENTHAL JAMES A Chief Operating Officer 01/21/2015 1,825,522
Porat Ruth Chief Financial Officer 01/21/2015 2,549,469
KELLEHER THOMAS COLM President, Inst'l Securities 01/21/2015 1,490,879
FLEMING GREGORY J President-Wealth & Invest Mgt 01/21/2015 2,094,348
GORMAN JAMES P Chairman and CEO 01/21/2015 3,287,802
TYSON LAURA D Director 11/26/2014 882,435
DAVIES HOWARD J Director 11/15/2014 15,061
OLAYAN HUTHAM S Director 11/13/2014 42,500
GLOCER THOMAS H Director 11/13/2014 45,006
BOWLES ERSKINE B Director 11/13/2014 57,502
SEXTON O GRIFFITH Director 11/01/2014 42,499
GROSSMAN ERIC F Chief Legal Officer 08/25/2014 1,252,410
GROSSMAN ERIC F Chief Legal Officer 08/25/2014 1,868,723
WIRTH PAUL C Deputy Chief Financial Officer 08/25/2014 344,400
GROSSMAN ERIC F Chief Legal Officer 07/23/2014 804,300
GROSSMAN ERIC F Chief Legal Officer 07/23/2014 1,151,395
FLEMING GREGORY J President-Wealth & Invest Mgt 07/22/2014 2,298,000
FLEMING GREGORY J President-Wealth & Invest Mgt 07/22/2014 3,301,730
KELLEHER THOMAS COLM President, Inst'l Securities 07/21/2014 89,471
ROSENTHAL JAMES A Chief Operating Officer 07/18/2014 1,001,000
DAVIES HOWARD J Director 05/15/2014 7,748
DAVIES HOWARD J Director 05/14/2014 32,485
SEXTON O GRIFFITH Director 05/13/2014 42,494
OLAYAN HUTHAM S Director 05/13/2014 42,494
Herz Robert H Director 02/05/2014 58
Herz Robert H Director 01/22/2014 1,476
GLOCER THOMAS H Director 05/13/2014 42,494
BOWLES ERSKINE B Director 05/13/2014 52,501
Hotsuki Keishi Chief Risk Officer 05/09/2014 104,081
Hotsuki Keishi Chief Risk Officer 05/08/2014 912,662
DAVIES HOWARD J Director 05/01/2014 374,040
ROSENTHAL JAMES A Chief Operating Officer 02/12/2014 1,010,896
WIRTH PAUL C Deputy Chief Financial Officer 02/11/2014 755,000
GROSSMAN ERIC F Chief Legal Officer 02/05/2014 45,871
GROSSMAN ERIC F Chief Legal Officer 02/05/2014 845,404
WIRTH PAUL C Deputy Chief Financial Officer 01/28/2014 252,204
WIRTH PAUL C Deputy Chief Financial Officer 01/27/2014 915,287
Hotsuki Keishi Chief Risk Officer 01/28/2014 297,211
Hotsuki Keishi Chief Risk Officer 01/27/2014 625,689
GROSSMAN ERIC F Chief Legal Officer 01/28/2014 634,663
ROSENTHAL JAMES A Chief Operating Officer 01/28/2014 1,038,141
ROSENTHAL JAMES A Chief Operating Officer 01/